Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Outlook Therapeutics, Inc.ONS · Entity 608 | VP, Regulatory Affairs | December 22, 2017 | December 26, 2017 |
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 December 22, 2017 · Filed December 26, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 64,648 |
Reported balance
After 2017-12-22 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2017-12-22 · Sale · Disposed 16,170 · Balance 64,648 F1: 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: Includes 21,739 shares of the Issuer's common stock subject to RSUs that will vest on 4/7/2018, subject to continued service through such date. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: Includes 21,739 shares of the Issuer's common stock subject to RSUs that will vest on 4/7/2018, subject to continued service through such date.
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 |
|---|---|---|---|---|---|---|
| December 22, 2017 Filed Dec 26, 2017 22:07 UTC | Outlook Therapeutics, Inc. ONS · Entity 608 | SaleCommon Stock | 16,170 | $1.13 | $18,272.10 |
DisclosureSEC source: 0001209191-17-067235 · doc4.xml · nonDerivative · entry 1 Yamashita Elizabeth A. · CIK 0001663252 · VP, Regulatory Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,648 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 21,739 shares of the Issuer's common stock subject to RSUs that will vest on 4/7/2018, subject to continued service through such date. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 00:48 UTC | Outlook Therapeutics, Inc. ONS · Entity 608 | SaleCommon Stock | 6,151 | $1.14 | $7,012.14 |
DisclosureSEC source: 0001209191-17-066692 · doc4.xml · nonDerivative · entry 2 Yamashita Elizabeth A. · CIK 0001663252 · VP, Regulatory Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,818 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. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.11 - $1.21, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (4) to this Form 4. F3 · balance_after: Includes shares of common stock underlying RSUs reported on the Reporting Person's Form 4 filed with the Securities and Exchange Commission on December 22, 2016. The vesting of RSUs was accelerated such that 100% of the shares underlying the RSU will vest on December 21, 2017. Read SEC document |
| December 18, 2017 Filed Dec 21, 2017 00:48 UTC | Outlook Therapeutics, Inc. ONS · Entity 608 | SaleCommon Stock | 1,509 | $1.17 | $1,765.53 |
DisclosureSEC source: 0001209191-17-066692 · doc4.xml · nonDerivative · entry 1 Yamashita Elizabeth A. · CIK 0001663252 · VP, Regulatory Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,969 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 in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.12 - $1.24, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4. F3 · balance_after: Includes shares of common stock underlying RSUs reported on the Reporting Person's Form 4 filed with the Securities and Exchange Commission on December 22, 2016. The vesting of RSUs was accelerated such that 100% of the shares underlying the RSU will vest on December 21, 2017. Read SEC document |
| December 21, 2016 Filed Dec 22, 2016 23:02 UTC | Outlook Therapeutics, Inc. ONS · Entity 608 | GrantCommon Stock | 45,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-156581 · doc4.xml · nonDerivative · entry 1 Yamashita Elizabeth A. · CIK 0001663252 · VP, Regulatory Affairs 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,478 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.