OMNI BIO PHARMACEUTICAL, INC. 4
4 · OMNI BIO PHARMACEUTICAL, INC. · Filed Jan 3, 2013
Insider Transaction Report
Form 4
BATHGATE STEVEN MARK
Director
Transactions
- Purchase
Common Stock
2012-09-07$1.14/sh+100,000$113,500→ 1,042,750 total(indirect: By LLC) - Purchase
Common Stock
2012-12-26$0.30/sh+47,355$14,207→ 102,355 total - 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) - 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+19,124→ 19,124 total(indirect: By LLC)Exercise: $1.50From: 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: $1.50From: 2012-12-14Exp: 2017-10-31→ Common Stock (10,800 underlying) - 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)
Holdings
- 50,000(indirect: By daughter)
Common Stock
- 604,000(indirect: By Spouse)
Common Stock
- 30,000(indirect: By Partnership)
Common Stock
Footnotes (4)
- [F1]The reporting person is a Senior Managing Partner of GVC Partners LLC.
- [F2]Represents shares transferred to a third party in connection with a settlement agreement.
- [F3]Represents warrants issued by the issuer for services as placement agent in a private placement transaction of the issuer.
- [F4]The reporting person disclaims beneficial ownership of these securities except to the extent of his 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.