Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Outlook Therapeutics, Inc.OTLK · Entity 608 | Chief Medical Officer | February 19, 2019 | February 19, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Outlook Therapeutics, Inc.
Report date February 19, 2019 · Filed February 19, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.32 · Expires 2029-02-19 | Direct | 600,000 |
Reported balance
After 2019-02-19 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2019-02-19 · Grant · Acquired 600,000 · Balance 600,000 F1: The shares underlying the option shall vest in four equal installments beginning on February 19, 2020 such that the option shall be vested in full on February 19, 2023, subject to the Reporting Person providing continuous service to the Issuer on each such date. Vesting may be accelerated in the event of (a) a change in control as defined in the Issuer's 2015 Equity Incentive Plan and (b) the achievement of certain pre-defined corporate objectives, in each case subject to the Reporting Person providing continuous service to the Issuer through such event. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares underlying the option shall vest in four equal installments beginning on February 19, 2020 such that the option shall be vested in full on February 19, 2023, subject to the Reporting Person providing continuous service to the Issuer on each such date. Vesting may be accelerated in the event of (a) a change in control as defined in the Issuer's 2015 Equity Incentive Plan and (b) the achievement of certain pre-defined corporate objectives, in each case subject to the Reporting Person providing continuous service to the Issuer through such event.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 19, 2019 Filed Feb 19, 2019 20:23 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | GrantStock Option (Right to Buy) · Derivative | 600,000 | $0.00 Strike: $1.32 | $0.00 |
DisclosureSEC source: 0001209191-19-011377 · doc4.xml · derivative · entry 1 Bahrt Kenneth · CIK 0001527197 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 600,000 Underlying: Common Stock · 600,000 shares Expires 2029-02-19 F1 · derivative.exercise_date: The shares underlying the option shall vest in four equal installments beginning on February 19, 2020 such that the option shall be vested in full on February 19, 2023, subject to the Reporting Person providing continuous service to the Issuer on each such date. Vesting may be accelerated in the event of (a) a change in control as defined in the Issuer's 2015 Equity Incentive Plan and (b) the achievement of certain pre-defined corporate objectives, in each case subject to the Reporting Person providing continuous service to the Issuer through such event. Read SEC document |
| October 22, 2018 Filed Oct 24, 2018 17:03 UTC | Outlook Therapeutics, Inc. ONS · Entity 608 | GrantStock Option (Right to Buy) · Derivative | 450,000 | $0.00 Strike: $0.90 | $0.00 |
DisclosureSEC source: 0001209191-18-056075 · doc4.xml · derivative · entry 1 Bahrt Kenneth · CIK 0001527197 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 450,000 Underlying: Common Stock · 450,000 shares Expires 2028-10-22 F1 · derivative.exercise_date: The shares underlying the option shall vest in four equal installments beginning on October 22, 2019 such that the option shall be vested in full on October 22, 2022, subject to the Reporting Person providing continuous service to the Issuer on each such date. Vesting may be accelerated in certain circumstances as provided in the Issuer's 2015 Equity Incentive Plan. Read SEC document |
| June 25, 2018 Filed Jun 27, 2018 19:52 UTC | Outlook Therapeutics, Inc. ONS · Entity 608 | SaleCommon Stock | 7,700 | $0.85 | $6,507.27 |
DisclosureSEC source: 0001209191-18-039725 · doc4.xml · nonDerivative · entry 1 Bahrt Kenneth · CIK 0001527197 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,120 F1 · shares: Represents the number of shares required to be sold by the Reporting Person to cover the tax withholding obligation in connection with the settlement of vested restricted stock units ("RSUs"). This sale is mandated by the Issuer's election under its equity incentive plans to require the Reporting Person to fund this tax withholding obligation by completing a "sell to cover" transaction with a brokerage firm designated by the Issuer. This sale does not represent a discretionary trade by the Reporting Person. F2 · price: The price reported is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $0.845 to $0.8525, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F3 · balance_after: Includes 14,493 shares of the Issuer's common stock subject to RSUs that will vest on 6/22/19, the four-year anniversary of the 6/22/15 grant date, subject to continued service through such date. Read SEC document |
| December 22, 2017 Filed Dec 26, 2017 17:06 UTC | Outlook Therapeutics, Inc. ONS · Entity 608 | SaleCommon Stock | 26,165 | $1.13 | $29,566.45 |
DisclosureSEC source: 0001209191-17-067233 · doc4.xml · nonDerivative · entry 1 Bahrt Kenneth · CIK 0001527197 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,820 F1 · shares: Represents the number of shares required to be sold by the Reporting Person to cover the tax withholding obligation in connection with the settlement of vested restricted stock units ("RSUs"). This sale is mandated by the Issuer's election under its equity incentive plans to require the Reporting Person to fund this tax withholding obligation by completing a "sell to cover" transaction with a brokerage firm designated by the Issuer. This sale does not represent a discretionary trade by the Reporting Person. F2 · balance_after: Includes 28,985 shares of the Issuer's common stock subject to RSUs that will vest 50% on each of the third and fourth year anniversaries of the 6/22/15 grant date, subject to continued service through such date. The vesting of RSUs reported on the Reporting Person's Form 4 filed with the Securities and Exchange Commission on December 22, 2016 was accelerated such that 100% of the shares underling those RSUs vested on December 21, 2017. Read SEC document |
| December 21, 2016 Filed Dec 22, 2016 18:00 UTC | Outlook Therapeutics, Inc. ONS · Entity 608 | GrantCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-156578 · doc4.xml · nonDerivative · entry 1 Bahrt Kenneth · CIK 0001527197 · Chief Medical Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,985 F1 · security: This security represents restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer. F2 · shares: The shares underlying this restricted stock unit award vests in two equal installments on each of December 21, 2017 and December 21, 2018, in each case subject to the Reporting Person's continuous service to the Issuer through each such date. In addition, 100% of the shares underlying the restricted stock unit award will satisfy the time-based vesting restrictions upon the occurrence of a change of control, subject to continued service through such event. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.