4//SEC Filing
OBALON THERAPEUTICS INC 4
Accession 0000904454-16-001500
$HINDCIK 0001427570operating
Filed
Oct 13, 8:00 PM ET
Accepted
Oct 14, 11:58 AM ET
Size
23.1 KB
Accession
0000904454-16-001500
Insider Transaction Report
Form 4
DOMAIN PARTERS VII L P
10% Owner
Transactions
- Conversion
Series C Preferred Stock
2016-10-12−836,722→ 0 total→ Common Stock (836,722 underlying) - Conversion
Series B Preferred Stock
2016-10-12−1,206,836→ 0 total→ Common Stock (1,206,836 underlying) - Conversion
Series D Preferred Stock
2016-10-12−597,207→ 0 total→ Common Stock (597,207 underlying) - Conversion
Common Stock
2016-10-12+3,985,970→ 3,985,970 total - Conversion
Series E Preferred Stock
2016-10-12−482,326→ 0 total→ Common Stock (482,326 underlying) - Conversion
Series A Preferred Stock
2016-10-12−649,835→ 0 total→ Common Stock (862,879 underlying)
DOVEY BRIAN H
10% Owner
Transactions
- Conversion
Series A Preferred Stock
2016-10-12−649,835→ 0 total→ Common Stock (862,879 underlying) - Conversion
Series B Preferred Stock
2016-10-12−1,206,836→ 0 total→ Common Stock (1,206,836 underlying) - Conversion
Series C Preferred Stock
2016-10-12−836,722→ 0 total→ Common Stock (836,722 underlying) - Conversion
Series D Preferred Stock
2016-10-12−597,207→ 0 total→ Common Stock (597,207 underlying) - Conversion
Series E Preferred Stock
2016-10-12−482,326→ 0 total→ Common Stock (482,326 underlying) - Conversion
Common Stock
2016-10-12+3,985,970→ 3,985,970 total
TREU JESSE I
10% Owner
Transactions
- Conversion
Series A Preferred Stock
2016-10-12−649,835→ 0 total→ Common Stock (862,879 underlying) - Conversion
Common Stock
2016-10-12+3,985,970→ 3,985,970 total - Conversion
Series C Preferred Stock
2016-10-12−836,722→ 0 total→ Common Stock (836,722 underlying) - Conversion
Series B Preferred Stock
2016-10-12−1,206,836→ 0 total→ Common Stock (1,206,836 underlying) - Conversion
Series D Preferred Stock
2016-10-12−597,207→ 0 total→ Common Stock (597,207 underlying) - Conversion
Series E Preferred Stock
2016-10-12−482,326→ 0 total→ Common Stock (482,326 underlying)
BLAIR JAMES C
10% Owner
Transactions
- Conversion
Common Stock
2016-10-12+3,985,970→ 3,985,970 total - Conversion
Series A Preferred Stock
2016-10-12−649,835→ 0 total→ Common Stock (862,879 underlying) - Conversion
Series B Preferred Stock
2016-10-12−1,206,836→ 0 total→ Common Stock (1,206,836 underlying) - Conversion
Series C Preferred Stock
2016-10-12−836,722→ 0 total→ Common Stock (836,722 underlying) - Conversion
Series D Preferred Stock
2016-10-12−597,207→ 0 total→ Common Stock (597,207 underlying) - Conversion
Series E Preferred Stock
2016-10-12−482,326→ 0 total→ Common Stock (482,326 underlying)
VITULLO NICOLE
10% Owner
Transactions
- Conversion
Common Stock
2016-10-12+3,985,970→ 3,985,970 total - Conversion
Series B Preferred Stock
2016-10-12−1,206,836→ 0 total→ Common Stock (1,206,836 underlying) - Conversion
Series A Preferred Stock
2016-10-12−649,835→ 0 total→ Common Stock (862,879 underlying) - Conversion
Series C Preferred Stock
2016-10-12−836,722→ 0 total→ Common Stock (836,722 underlying) - Conversion
Series D Preferred Stock
2016-10-12−597,207→ 0 total→ Common Stock (597,207 underlying) - Conversion
Series E Preferred Stock
2016-10-12−482,326→ 0 total→ Common Stock (482,326 underlying)
Halak Brian K
10% Owner
Transactions
- Conversion
Series B Preferred Stock
2016-10-12−1,206,836→ 0 total→ Common Stock (1,206,836 underlying) - Conversion
Series D Preferred Stock
2016-10-12−597,207→ 0 total→ Common Stock (597,207 underlying) - Conversion
Series E Preferred Stock
2016-10-12−482,326→ 0 total→ Common Stock (482,326 underlying) - Conversion
Common Stock
2016-10-12+3,985,970→ 3,985,970 total - Conversion
Series A Preferred Stock
2016-10-12−649,835→ 0 total→ Common Stock (862,879 underlying) - Conversion
Series C Preferred Stock
2016-10-12−836,722→ 0 total→ Common Stock (836,722 underlying)
Footnotes (3)
- [F1]The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
- [F2]As managing members of the sole general partner of DP VII Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own the securities of the Issuer held by DP VII Associates, L.P., as reported on a Form 4 for DP VII Associates, L.P. filed on the same date as this Form 4.
- [F3]All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The preferred stock had no expiration date.
Documents
Issuer
OBALON THERAPEUTICS INC
CIK 0001427570
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001427570
Filing Metadata
- Form type
- 4
- Filed
- Oct 13, 8:00 PM ET
- Accepted
- Oct 14, 11:58 AM ET
- Size
- 23.1 KB