Stevenson Sharon 4
4 · OBALON THERAPEUTICS INC · Filed Aug 8, 2019
Insider Transaction Report
Form 4
Stevenson Sharon
Director
Transactions
- Purchase
Common Stock
2019-08-06$4.00/sh+7,500$30,000→ 18,061 total - Purchase
Warrants (Right to Buy)
2019-08-06+5,625→ 5,625 totalExercise: $4.40From: 2019-08-06Exp: 2024-08-06→ Common Stock (5,625 underlying)
Holdings
- 34,124(indirect: By Okapi Ventures II, L.P.)
Common Stock
- 54,624(indirect: By Okapi Ventures, L.P.)
Common Stock
Footnotes (4)
- [F1]Reflects price paid to underwriters in Issuer's registered offering.
- [F2]Includes Restricted Shares that are subject to vesting.
- [F3]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.
- [F4]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.