4//SEC Filing
OBALON THERAPEUTICS INC 4
Accession 0001209191-16-145722
$HINDCIK 0001427570operating
Filed
Oct 11, 8:00 PM ET
Accepted
Oct 12, 5:34 PM ET
Size
29.6 KB
Accession
0001209191-16-145722
Insider Transaction Report
Form 4
GIANOS PHILIP T
10% Owner
Transactions
- Conversion
Common Stock
2016-10-12+1,615,041→ 1,615,041 total - Conversion
Common Stock
2016-10-12+464,494→ 2,079,535 total - Conversion
Series C Preferred Stock
2016-10-12−1,615,041→ 0 total→ Common Stock (1,615,041 underlying) - Conversion
Common Stock
2016-10-12+373,803→ 2,453,338 total - Conversion
Series D Preferred Stock
2016-10-12−464,494→ 0 total→ Common Stock (464,494 underlying) - Conversion
Series E Preferred Stock
2016-10-12−373,803→ 0 total→ Common Stock (373,803 underlying)
Kliman Gilbert H
10% Owner
Transactions
- Conversion
Common Stock
2016-10-12+373,803→ 2,453,338 total - Conversion
Series E Preferred Stock
2016-10-12−373,803→ 0 total→ Common Stock (373,803 underlying) - Conversion
Series D Preferred Stock
2016-10-12−464,494→ 0 total→ Common Stock (464,494 underlying) - Conversion
Common Stock
2016-10-12+1,615,041→ 1,615,041 total - Conversion
Common Stock
2016-10-12+464,494→ 2,079,535 total - Conversion
Series C Preferred Stock
2016-10-12−1,615,041→ 0 total→ Common Stock (1,615,041 underlying)
INTERWEST PARTNERS X LP
10% Owner
Transactions
- Conversion
Series C Preferred Stock
2016-10-12−1,615,041→ 0 total→ Common Stock (1,615,041 underlying) - Conversion
Series D Preferred Stock
2016-10-12−464,494→ 0 total→ Common Stock (464,494 underlying) - Conversion
Common Stock
2016-10-12+1,615,041→ 1,615,041 total - Conversion
Series E Preferred Stock
2016-10-12−373,803→ 0 total→ Common Stock (373,803 underlying) - Conversion
Common Stock
2016-10-12+464,494→ 2,079,535 total - Conversion
Common Stock
2016-10-12+373,803→ 2,453,338 total
Holmes W Stephen
10% Owner
Transactions
- Conversion
Common Stock
2016-10-12+1,615,041→ 1,615,041 total - Conversion
Series E Preferred Stock
2016-10-12−373,803→ 0 total→ Common Stock (373,803 underlying) - Conversion
Common Stock
2016-10-12+464,494→ 2,079,535 total - Conversion
Common Stock
2016-10-12+373,803→ 2,453,338 total - Conversion
Series D Preferred Stock
2016-10-12−464,494→ 0 total→ Common Stock (464,494 underlying) - Conversion
Series C Preferred Stock
2016-10-12−1,615,041→ 0 total→ Common Stock (1,615,041 underlying)
Desai Keval
10% Owner
Transactions
- Conversion
Series E Preferred Stock
2016-10-12−373,803→ 0 total→ Common Stock (373,803 underlying) - Conversion
Common Stock
2016-10-12+464,494→ 2,079,535 total - Conversion
Series C Preferred Stock
2016-10-12−1,615,041→ 0 total→ Common Stock (1,615,041 underlying) - Conversion
Series D Preferred Stock
2016-10-12−464,494→ 0 total→ Common Stock (464,494 underlying) - Conversion
Common Stock
2016-10-12+1,615,041→ 1,615,041 total - Conversion
Common Stock
2016-10-12+373,803→ 2,453,338 total
NASR KHALED
10% Owner
Transactions
- Conversion
Common Stock
2016-10-12+464,494→ 2,079,535 total - Conversion
Series D Preferred Stock
2016-10-12−464,494→ 0 total→ Common Stock (464,494 underlying) - Conversion
Series E Preferred Stock
2016-10-12−373,803→ 0 total→ Common Stock (373,803 underlying) - Conversion
Common Stock
2016-10-12+1,615,041→ 1,615,041 total - Conversion
Common Stock
2016-10-12+373,803→ 2,453,338 total - Conversion
Series C Preferred Stock
2016-10-12−1,615,041→ 0 total→ Common Stock (1,615,041 underlying)
InterWest Management Partners X, LLC
10% Owner
Transactions
- Conversion
Common Stock
2016-10-12+464,494→ 2,079,535 total - Conversion
Series C Preferred Stock
2016-10-12−1,615,041→ 0 total→ Common Stock (1,615,041 underlying) - Conversion
Common Stock
2016-10-12+1,615,041→ 1,615,041 total - Conversion
Common Stock
2016-10-12+373,803→ 2,453,338 total - Conversion
Series D Preferred Stock
2016-10-12−464,494→ 0 total→ Common Stock (464,494 underlying) - Conversion
Series E Preferred Stock
2016-10-12−373,803→ 0 total→ Common Stock (373,803 underlying)
ORONSKY ARNOLD L
10% Owner
Transactions
- Conversion
Series E Preferred Stock
2016-10-12−373,803→ 0 total→ Common Stock (373,803 underlying) - Conversion
Common Stock
2016-10-12+1,615,041→ 1,615,041 total - Conversion
Common Stock
2016-10-12+373,803→ 2,453,338 total - Conversion
Common Stock
2016-10-12+464,494→ 2,079,535 total - Conversion
Series C Preferred Stock
2016-10-12−1,615,041→ 0 total→ Common Stock (1,615,041 underlying) - Conversion
Series D Preferred Stock
2016-10-12−464,494→ 0 total→ Common Stock (464,494 underlying)
Footnotes (4)
- [F1]Each share of the issuer's Series C Preferred Stock automatically converted into 1 share of the issuer's Common Stock on October 12, 2016 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-213551) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.
- [F2]These securities are held of record by InterWest Partners X, L.P. ("IW10"). InterWest Management Partners X, LLC ("IMP10") is the general partner of IW10. Philip T. Gianos, W. Stephen Holmes, Gilbert H. Kliman and Arnold L. Oronsky are the managing directors of IMP10, and Keval Desai and Khalad A. Nasr are venture members of IMP10. Each of the reporting persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. The reporting persons have designated a representative, currently Doug Fisher, a consultant of InterWest Venture Management Co., to serve on the issuer's board of directors. This report shall not be deemed an admission that any of the reporting persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes.
- [F3]Each share of the issuer's Series D Preferred Stock automatically converted into 1 share of the issuer's Common Stock on October 12, 2016 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.
- [F4]Each share of the issuer's Series E Preferred Stock automatically converted into 1 share of the issuer's Common Stock on October 12, 2016 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.
Issuer
OBALON THERAPEUTICS INC
CIK 0001427570
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001427570
Filing Metadata
- Form type
- 4
- Filed
- Oct 11, 8:00 PM ET
- Accepted
- Oct 12, 5:34 PM ET
- Size
- 29.6 KB