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4//SEC Filing

OMNI BIO PHARMACEUTICAL, INC. 4

Accession 0001181431-13-001259

CIK 0001389870operating
View on SEC.govCompany Profile

Filed

Jan 2, 7:00 PM ET

Accepted

Jan 3, 5:51 PM ET

Size

19.6 KB

Accession

0001181431-13-001259

Insider Transaction Report

Form 4
Period: 2012-09-07
OMNI BIO PHARMACEUTICAL, INC.OMBP
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

  • Common Stock

    (indirect: By daughter)
    50,000

  • Common Stock

    (indirect: By Spouse)
    604,000

  • Common Stock

    (indirect: By Partnership)
    30,000
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.

Documents

1 file

Issuer

OMNI BIO PHARMACEUTICAL, INC.

CIK 0001389870

→
Entity typeoperating
IncorporatedCO

Related Parties

1
  • filerCIK 0001389870

Filing Metadata

Form type
4
Filed
Jan 2, 7:00 PM ET
Accepted
Jan 3, 5:51 PM ET
Size
19.6 KB
View on SEC.gov