DOMAIN PARTERS VII L P 4
4 · OBALON THERAPEUTICS INC · Filed Aug 8, 2019
Insider Transaction Report
Form 4
DOMAIN PARTERS VII L P
10% Owner
Transactions
- Purchase
Warrants to Purchase Common Stock
2019-08-06$4.00/sh+187,500$750,000→ 187,500 totalExercise: $4.40From: 2019-08-06Exp: 2024-08-06→ Common Stock (187,500 underlying) - Purchase
Common Stock
2019-08-06$4.00/sh+250,000$1,000,000→ 813,433 total
Footnotes (4)
- [F1]The reported securities were purchased as Units, each Unit consisting of one share of Common Stock and a Warrant to purchase 0.75 of one share of Common Stock, at a purchase price of $4.00 per Unit.
- [F2]The reported ownership reflects the one-for-ten reverse split of the Common Stock effected on July 24, 2019.
- [F3]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.
- [F4]As managing members of One Palmer Square Associates VII, LLC, which is also the sole general partner of DP VII Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own 4,957 shares of Common Stock held by DP VII Associates, L.P.