Stevenson Sharon 4
4 · OBALON THERAPEUTICS INC · Filed Aug 27, 2018
Insider Transaction Report
Form 4
Stevenson Sharon
Director
Transactions
- Award
Common Stock
2018-08-23$1.82/sh+27,472$49,999→ 27,472 total
Holdings
- 341,235(indirect: By Okapi Ventures II, L.P.)
Common Stock
- 546,233(indirect: By Okapi Ventures, L.P.)
Common Stock
Footnotes (3)
- [F1]The reporting person purchased these shares directly from the issuer in a private placement.
- [F2]These securities are held of record by Okapi Ventures, L.P. ("OV"). Okapi Venture Partners, LLC ("OVLLC") is the general partner of OV. The reporting person is a managing director of OVLLC, and shares voting and investment power over the securities. The reporting person 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 her pecuniary interest therein, if any. This report shall not be deemed an admission that the reporting person is a beneficial owner of these securities for the purposes of Section 16 of the Exchange Act, or for any other purposes.
- [F3]These securities are held of record by Okapi Ventures II, L.P. ("OVII"). Okapi Venture Partners II, LLC ("OVIILLC") is the general partner of OVII. The reporting person is a managing director of OVIILLC, and shares voting and investment power over the securities. The reporting person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of her pecuniary interest therein, if any. This report shall not be deemed an admission that the reporting person is a beneficial owner of these securities for the purposes of Section 16 of the Exchange Act, or for any other purposes.