4//SEC Filing
Thomas Thomas T. 4
Accession 0001385508-21-000138
CIK 0001385508other
Filed
Sep 22, 8:00 PM ET
Accepted
Sep 23, 4:05 PM ET
Size
16.6 KB
Accession
0001385508-21-000138
Insider Transaction Report
Form 4
Thomas Thomas T.
Director
Transactions
- Exercise/Conversion
Common Stock
2021-09-21$10.00/sh+2,000$20,000→ 10,107 total - Exercise/Conversion
Common Stock
2021-09-22$10.00/sh+1,834$18,340→ 11,110 total - Exercise/Conversion
Stock Option (right to buy)
2021-09-21−2,000→ 1,834 totalExercise: $10.00Exp: 2021-11-03→ Common Stock (2,000 underlying) - Sale
Common Stock
2021-09-21$24.07/sh−60$1,444→ 10,047 total - Sale
Common Stock
2021-09-21$24.12/sh−771$18,597→ 9,276 total - Sale
Common Stock
2021-09-22$25.02/sh−735$18,390→ 10,375 total - Exercise/Conversion
Stock Option (right to buy)
2021-09-22−1,834→ 0 totalExercise: $10.00Exp: 2021-11-03→ Common Stock (1,834 underlying)
Footnotes (7)
- [F1]The shares were sold pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.
- [F2]The shares were sold to cover the $10 exercise price of the vested stock options. The net shares of 25, after selling to cover the exercise price, will be held by the Reporting Person.
- [F3]The shares were sold to cover the $10 exercise price of the vested stock options. The net shares of 1,144, after selling to cover the exercise price, will be held by the Reporting Person.
- [F4]The shares were sold to cover the $10 exercise price of the vested stock options. The net shares of 1,099, after selling to cover the exercise price, will be held by the Reporting Person.
- [F5]This transaction was executed in multiple trades at prices ranging from $24.52 to $25.04. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- [F6]The option was exercised pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.
- [F7]On November 4, 2016, the reporting person was granted an option to purchase 35,000 shares of Common Stock. The options vest as follows: (i) 11,667 share upon the up listing of the Issuer to The NASDAQ Stock Market (which occurred on August 29, 2017); (ii) 11,667 shares upon the cumulative funding of the Issuer in excess of $5,000,000 by institutional investors, commencing May 5, 2016 (which performance criteria was met on December 13, 2016); and (iii) 11,666 shares upon the first submission of a New Drug Application ("NDA") to the FDA for one of Issuer's products by either the Issuer or an Issuer licensee.
Documents
Issuer
OPIANT PHARMACEUTICALS, INC.
CIK 0001385508
Entity typeother
Related Parties
1- filerCIK 0001689819
Filing Metadata
- Form type
- 4
- Filed
- Sep 22, 8:00 PM ET
- Accepted
- Sep 23, 4:05 PM ET
- Size
- 16.6 KB