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Filing Details

Accession Number:: 0001385508-21-000138
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-09-23 16:05:54
Reporting Period:: 2021-09-21

Accepted Time:: 2021-09-23 16:05:54
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1385508	Opiant Pharmaceuticals Inc.	OPNT	Pharmaceutical Preparations (2834)	000000000

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1689819	T. Thomas Thomas	C/O Opiant Pharmaceuticals, Inc. 233 Wilshire Blvd. Suite 280 Santa Monica CA 90401		Yes	No	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2021-09-21	2,000	$10.00	10,107	No	4	M	Direct
Common Stock	Disposition	2021-09-21	60	$24.07	10,047	No	4	S	Direct
Common Stock	Disposition	2021-09-21	771	$24.12	9,276	No	4	S	Direct
Common Stock	Acquisiton	2021-09-22	1,834	$10.00	11,110	No	4	M	Direct
Common Stock	Disposition	2021-09-22	735	$25.02	10,375	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	M	Direct
No	4	S	Direct
No	4	S	Direct
No	4	M	Direct
No	4	S	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Stock Option (right to buy)	Disposition	2021-09-21	2,000	$0.00	2,000	$10.00
Common Stock	Stock Option (right to buy)	Disposition	2021-09-22	1,834	$0.00	1,834	$10.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
1,834		2021-11-03	No	4	M	Direct
0		2021-11-03	No	4	M	Direct

Footnotes

The shares were sold pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.
The shares were sold to cover the $10 exercise price of the vested stock options. The net shares of 25, after selling to cover the exercise price, will be held by the Reporting Person.
The shares were sold to cover the $10 exercise price of the vested stock options. The net shares of 1,144, after selling to cover the exercise price, will be held by the Reporting Person.
The shares were sold to cover the $10 exercise price of the vested stock options. The net shares of 1,099, after selling to cover the exercise price, will be held by the Reporting Person.
This transaction was executed in multiple trades at prices ranging from $24.52 to $25.04. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
The option was exercised pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.
On November 4, 2016, the reporting person was granted an option to purchase 35,000 shares of Common Stock. The options vest as follows: (i) 11,667 share upon the up listing of the Issuer to The NASDAQ Stock Market (which occurred on August 29, 2017); (ii) 11,667 shares upon the cumulative funding of the Issuer in excess of $5,000,000 by institutional investors, commencing May 5, 2016 (which performance criteria was met on December 13, 2016); and (iii) 11,666 shares upon the first submission of a New Drug Application ("NDA") to the FDA for one of Issuer's products by either the Issuer or an Issuer licensee.