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|4Jan 3, 5:50 PM ET

Barone Vicki D E 4

4 · OMNI BIO PHARMACEUTICAL, INC. · Filed Jan 3, 2013

Insider Transaction Report

Form 4
Period: 2012-09-07
OMNI BIO PHARMACEUTICAL, INC.OMBP
Barone Vicki D E
DirectorChair of the Board
Transactions
  • Other

    Common Stock

    2012-09-07$0.25/sh−125,000$31,250→ 917,750 total(indirect: By LLC)
  • Award

    Warrants (Right to Buy)

    2012-12-12+6,375→ 6,375 total
    Exercise: $1.00From: 2012-12-12Exp: 2017-07-31→ Common Stock (6,375 underlying)
  • Award

    Warrants (Right to Buy)

    2012-12-12+19,124→ 19,124 total(indirect: By LLC)
    Exercise: $1.50From: 2012-12-12Exp: 2017-07-31→ Common Stock (19,124 underlying)
  • Purchase

    Common Stock

    2012-09-07$1.14/sh+100,000$113,500→ 1,042,750 total(indirect: By LLC)
  • Award

    Warrants (Right to Buy)

    2012-12-12+19,124→ 19,124 total(indirect: By LLC)
    Exercise: $1.00From: 2012-12-12Exp: 2017-07-31→ Common Stock (19,124 underlying)
  • Award

    Warrants (Right to Buy)

    2012-12-14+10,800→ 10,800 total(indirect: By LLC)
    Exercise: $1.00From: 2012-12-14Exp: 2017-10-31→ Common Stock (10,800 underlying)
  • Award

    Warrants (Right to Buy)

    2012-12-12+6,375→ 6,375 total
    Exercise: $1.50From: 2012-12-12Exp: 2017-07-31→ Common Stock (6,375 underlying)
  • Award

    Warrants (Right to Buy)

    2012-12-14+3,600→ 3,600 total
    Exercise: $1.00From: 2012-12-14Exp: 2017-10-31→ Common Stock (3,600 underlying)
  • Award

    Warrants (Right to Buy)

    2012-12-14+3,600→ 3,600 total
    Exercise: $1.50From: 2012-12-14Exp: 2017-10-31→ Common Stock (3,600 underlying)
  • Award

    Warrants (Right to Buy)

    2012-12-14+10,800→ 10,800 total(indirect: By LLC)
    Exercise: $1.50From: 2012-12-14Exp: 2017-10-31→ Common Stock (10,800 underlying)
Holdings

  • Common Stock

    637,437
Footnotes (3)
  • [F1]Represents shares transferred to a third party in connection with a settlement agreement.
  • [F2]The reporting person is a Senior Managing Partner of GVC Partners LLC. The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of such securities for purposes of Section 16 or for any other purpose.
  • [F3]Represents warrants issued by the issuer for services as placement agent in a private placement transaction of the issuer.

Documents

1 file
  • 4
    rrd363683.xmlPrimary