Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Outlook Therapeutics, Inc.OTLK · Entity 608 | Director · 10% owner | August 12, 2026 | August 14, 2026 |
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 August 12, 2026 · Filed August 14, 2026
Jointly reported with GMS Ventures & Investments
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 24,617,320 |
Reported balance
After 2026-08-12 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2026-08-12 · Purchase · Acquired 2,525,252 · Balance 24,617,320 F1: On August 12, 2026, the Issuer entered into an underwriting agreement with Piper Sandler & Co. and BTIG, LLC, as representatives of the several underwriters named therein, relating to an underwritten public offering by the Issuer of shares of its common stock and accompanying warrants to purchase shares of common stock at a combined public offering price of $0.99 per share of common stock and accompanying warrant. The offering closed on August 14, 2026. The price reported in Table I above represents the combined public offering price for one share of common stock and one accompanying warrant to purchase one share of common stock; no separate consideration was paid for the accompanying warrants, and accordingly the price of the derivative security reported in Table II above is $0.00. F3: These securities are held of record by GMS Ventures. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F4: By virtue of the relationships described above in Footnote 3, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owners of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. |
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.10 · Expires 2031-08-14 | IndirectSee footnote | 2,525,252 |
Reported balance
After 2026-08-12 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2026-08-12 · Purchase · Acquired 2,525,252 · Balance 2,525,252 F1: On August 12, 2026, the Issuer entered into an underwriting agreement with Piper Sandler & Co. and BTIG, LLC, as representatives of the several underwriters named therein, relating to an underwritten public offering by the Issuer of shares of its common stock and accompanying warrants to purchase shares of common stock at a combined public offering price of $0.99 per share of common stock and accompanying warrant. The offering closed on August 14, 2026. The price reported in Table I above represents the combined public offering price for one share of common stock and one accompanying warrant to purchase one share of common stock; no separate consideration was paid for the accompanying warrants, and accordingly the price of the derivative security reported in Table II above is $0.00. F2: The warrants were exercisable immediately upon issuance and expire five years from the date of issuance, on August 14, 2031. The warrants are subject to a beneficial ownership limitation that prohibits exercise to the extent the holder, together with its affiliates and other attribution parties, would beneficially own more than the applicable percentage of the Issuer's outstanding common stock immediately after giving effect to such exercise. F3: These securities are held of record by GMS Ventures. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F4: By virtue of the relationships described above in Footnote 3, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owners of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: On August 12, 2026, the Issuer entered into an underwriting agreement with Piper Sandler & Co. and BTIG, LLC, as representatives of the several underwriters named therein, relating to an underwritten public offering by the Issuer of shares of its common stock and accompanying warrants to purchase shares of common stock at a combined public offering price of $0.99 per share of common stock and accompanying warrant. The offering closed on August 14, 2026. The price reported in Table I above represents the combined public offering price for one share of common stock and one accompanying warrant to purchase one share of common stock; no separate consideration was paid for the accompanying warrants, and accordingly the price of the derivative security reported in Table II above is $0.00.
F2: The warrants were exercisable immediately upon issuance and expire five years from the date of issuance, on August 14, 2031. The warrants are subject to a beneficial ownership limitation that prohibits exercise to the extent the holder, together with its affiliates and other attribution parties, would beneficially own more than the applicable percentage of the Issuer's outstanding common stock immediately after giving effect to such exercise.
F3: These securities are held of record by GMS Ventures. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization.
F4: By virtue of the relationships described above in Footnote 3, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owners of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.
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 |
|---|---|---|---|---|---|---|
| August 12, 2026 Filed Aug 14, 2026 23:52 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | PurchaseWarrants (right to buy) · Derivative | 2,525,252 | $0.00 Strike: $1.10 | $0.00 |
DisclosureSEC source: 0000899140-26-000894 · form4.xml · derivative · entry 2 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 2,525,252 Underlying: Common Stock · 2,525,252 shares Expires 2031-08-14 F1 · price: On August 12, 2026, the Issuer entered into an underwriting agreement with Piper Sandler & Co. and BTIG, LLC, as representatives of the several underwriters named therein, relating to an underwritten public offering by the Issuer of shares of its common stock and accompanying warrants to purchase shares of common stock at a combined public offering price of $0.99 per share of common stock and accompanying warrant. The offering closed on August 14, 2026. The price reported in Table I above represents the combined public offering price for one share of common stock and one accompanying warrant to purchase one share of common stock; no separate consideration was paid for the accompanying warrants, and accordingly the price of the derivative security reported in Table II above is $0.00. F2 · derivative.exercise_date: The warrants were exercisable immediately upon issuance and expire five years from the date of issuance, on August 14, 2031. The warrants are subject to a beneficial ownership limitation that prohibits exercise to the extent the holder, together with its affiliates and other attribution parties, would beneficially own more than the applicable percentage of the Issuer's outstanding common stock immediately after giving effect to such exercise. F2 · derivative.expiration_date: The warrants were exercisable immediately upon issuance and expire five years from the date of issuance, on August 14, 2031. The warrants are subject to a beneficial ownership limitation that prohibits exercise to the extent the holder, together with its affiliates and other attribution parties, would beneficially own more than the applicable percentage of the Issuer's outstanding common stock immediately after giving effect to such exercise. F3 · ownership.nature: These securities are held of record by GMS Ventures. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F4 · ownership.nature: By virtue of the relationships described above in Footnote 3, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owners of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| August 12, 2026 Filed Aug 14, 2026 23:52 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | PurchaseCommon Stock | 2,525,252 | $0.99 | $2,499,999.48 |
DisclosureSEC source: 0000899140-26-000894 · form4.xml · nonDerivative · entry 1 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 24,617,320 F1 · price: On August 12, 2026, the Issuer entered into an underwriting agreement with Piper Sandler & Co. and BTIG, LLC, as representatives of the several underwriters named therein, relating to an underwritten public offering by the Issuer of shares of its common stock and accompanying warrants to purchase shares of common stock at a combined public offering price of $0.99 per share of common stock and accompanying warrant. The offering closed on August 14, 2026. The price reported in Table I above represents the combined public offering price for one share of common stock and one accompanying warrant to purchase one share of common stock; no separate consideration was paid for the accompanying warrants, and accordingly the price of the derivative security reported in Table II above is $0.00. F3 · ownership.nature: These securities are held of record by GMS Ventures. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F4 · ownership.nature: By virtue of the relationships described above in Footnote 3, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owners of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| May 28, 2026 Filed Jun 2, 2026 01:30 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | PurchaseWarrants (right to buy) · Derivative | 8,571,428 | Not disclosed Strike: $0.59 | Not disclosed |
DisclosureSEC source: 0000899140-26-000620 · form4.xml · derivative · entry 7 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 8,571,428 Underlying: Common Stock · 8,571,428 shares Expires 2030-05-27 F6 · kind: The transactions reported in Table II above involved the amendment of the outstanding warrants issued on May 27, 2025 to reduce the exercise price from $1.40 per share to $0.5855 per share. The amendment is reported above as the cancellation of the old warrant and the acquisition of a new one. F6 · price: The transactions reported in Table II above involved the amendment of the outstanding warrants issued on May 27, 2025 to reduce the exercise price from $1.40 per share to $0.5855 per share. The amendment is reported above as the cancellation of the old warrant and the acquisition of a new one. F2 · ownership.nature: These securities are held of record by GMS Ventures. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F3 · ownership.nature: By virtue of the relationships described above in Footnote 2, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owners of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| May 28, 2026 Filed Jun 2, 2026 01:30 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | OtherWarrants (right to buy) · Derivative | 8,571,428 | Not disclosed Strike: $1.40 | Not disclosed |
DisclosureSEC source: 0000899140-26-000620 · form4.xml · derivative · entry 6 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 8,571,428 shares Expires 2030-05-27 F6 · kind: The transactions reported in Table II above involved the amendment of the outstanding warrants issued on May 27, 2025 to reduce the exercise price from $1.40 per share to $0.5855 per share. The amendment is reported above as the cancellation of the old warrant and the acquisition of a new one. F6 · price: The transactions reported in Table II above involved the amendment of the outstanding warrants issued on May 27, 2025 to reduce the exercise price from $1.40 per share to $0.5855 per share. The amendment is reported above as the cancellation of the old warrant and the acquisition of a new one. F2 · ownership.nature: These securities are held of record by GMS Ventures. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F3 · ownership.nature: By virtue of the relationships described above in Footnote 2, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owners of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| May 28, 2026 Filed Jun 2, 2026 01:30 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | PurchaseWarrants (right to buy) · Derivative | 3,458,571 | Not disclosed Strike: $0.59 | Not disclosed |
DisclosureSEC source: 0000899140-26-000620 · form4.xml · derivative · entry 5 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 3,458,571 Underlying: Common Stock · 3,458,571 shares Expires 2030-03-11 F5 · kind: The transactions reported in Table II above involved the amendment of the outstanding Tranche B warrants issued on January 16, 2025 to reduce the exercise price from $2.26 per share to $0.5855 per share. The amendment is reported above as the cancellation of the old warrant and the acquisition of a new one. F5 · price: The transactions reported in Table II above involved the amendment of the outstanding Tranche B warrants issued on January 16, 2025 to reduce the exercise price from $2.26 per share to $0.5855 per share. The amendment is reported above as the cancellation of the old warrant and the acquisition of a new one. F2 · ownership.nature: These securities are held of record by GMS Ventures. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F3 · ownership.nature: By virtue of the relationships described above in Footnote 2, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owners of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| May 28, 2026 Filed Jun 2, 2026 01:30 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | OtherWarrants (right to buy) · Derivative | 3,458,571 | Not disclosed Strike: $2.26 | Not disclosed |
DisclosureSEC source: 0000899140-26-000620 · form4.xml · derivative · entry 4 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 3,458,571 shares Expires 2030-03-11 F5 · kind: The transactions reported in Table II above involved the amendment of the outstanding Tranche B warrants issued on January 16, 2025 to reduce the exercise price from $2.26 per share to $0.5855 per share. The amendment is reported above as the cancellation of the old warrant and the acquisition of a new one. F5 · price: The transactions reported in Table II above involved the amendment of the outstanding Tranche B warrants issued on January 16, 2025 to reduce the exercise price from $2.26 per share to $0.5855 per share. The amendment is reported above as the cancellation of the old warrant and the acquisition of a new one. F2 · ownership.nature: These securities are held of record by GMS Ventures. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F3 · ownership.nature: By virtue of the relationships described above in Footnote 2, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owners of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| May 28, 2026 Filed Jun 2, 2026 01:30 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | PurchaseWarrants (right to buy) · Derivative | 3,458,571 | Not disclosed Strike: $0.59 | Not disclosed |
DisclosureSEC source: 0000899140-26-000620 · form4.xml · derivative · entry 3 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 3,458,571 Underlying: Common Stock · 3,458,571 shares Expires 2030-01-17 F4 · kind: The transactions reported in Table II above involved the amendment of the outstanding Tranche A warrants issued on January 16, 2025 to reduce the exercise price from $2.26 per share to $0.5855 per share. The amendment is reported above as the cancellation of the old warrant and the acquisition of a new one. F4 · price: The transactions reported in Table II above involved the amendment of the outstanding Tranche A warrants issued on January 16, 2025 to reduce the exercise price from $2.26 per share to $0.5855 per share. The amendment is reported above as the cancellation of the old warrant and the acquisition of a new one. F2 · ownership.nature: These securities are held of record by GMS Ventures. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F3 · ownership.nature: By virtue of the relationships described above in Footnote 2, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owners of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| May 28, 2026 Filed Jun 2, 2026 01:30 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | OtherWarrants (right to buy) · Derivative | 3,458,571 | Not disclosed Strike: $2.26 | Not disclosed |
DisclosureSEC source: 0000899140-26-000620 · form4.xml · derivative · entry 2 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 3,458,571 shares Expires 2030-01-17 F4 · kind: The transactions reported in Table II above involved the amendment of the outstanding Tranche A warrants issued on January 16, 2025 to reduce the exercise price from $2.26 per share to $0.5855 per share. The amendment is reported above as the cancellation of the old warrant and the acquisition of a new one. F4 · price: The transactions reported in Table II above involved the amendment of the outstanding Tranche A warrants issued on January 16, 2025 to reduce the exercise price from $2.26 per share to $0.5855 per share. The amendment is reported above as the cancellation of the old warrant and the acquisition of a new one. F2 · ownership.nature: These securities are held of record by GMS Ventures. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F3 · ownership.nature: By virtue of the relationships described above in Footnote 2, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owners of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| May 28, 2026 Filed Jun 2, 2026 01:30 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | PurchaseCommon Stock | 8,539,709 | $0.59 | $4,999,999.62 |
DisclosureSEC source: 0000899140-26-000620 · form4.xml · nonDerivative · entry 1 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 22,092,068 F1 · shares: On May 28, 2026, GMS Ventures and Investments ("GMS Ventures") entered into a securities purchase agreement with Outlook Therapeutics, Inc. (the "Issuer") pursuant to which the Issuer agreed to issue and sell 8,539,709 shares of the Issuer's common stock at $0.5855 per share in a registered direct offering for a total purchase price of approximately $5.0 million. F2 · ownership.nature: These securities are held of record by GMS Ventures. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F3 · ownership.nature: By virtue of the relationships described above in Footnote 2, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owners of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| May 27, 2025 Filed May 28, 2025 21:20 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | GrantWarrants (right to buy) · Derivative | 8,571,428 | Not disclosed Strike: $1.40 | Not disclosed |
DisclosureSEC source: 0000947871-25-000571 · ownership.xml · derivative · entry 2 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 8,571,428 Underlying: Common Stock · 8,571,428 shares Expires 2030-05-27 F1 · kind: Acquired in an underwritten public offering, pursuant to which Outlook Therapeutics, Inc. (the "Issuer") sold shares of common stock, and, for each such share of common stock, accompanying warrants to purchase two shares of common stock, at a purchase price of $1.40 per share and accompanying warrant. F1 · price: Acquired in an underwritten public offering, pursuant to which Outlook Therapeutics, Inc. (the "Issuer") sold shares of common stock, and, for each such share of common stock, accompanying warrants to purchase two shares of common stock, at a purchase price of $1.40 per share and accompanying warrant. F2 · ownership.nature: These securities are held of record by GMS Ventures and Investments ("GMS Ventures"). Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F3 · ownership.nature: By virtue of the relationships described above in Footnote 2, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| May 27, 2025 Filed May 28, 2025 21:20 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | GrantCommon Stock | 4,285,714 | $1.40 | $5,999,999.60 |
DisclosureSEC source: 0000947871-25-000571 · ownership.xml · nonDerivative · entry 1 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 13,552,359 F1 · kind: Acquired in an underwritten public offering, pursuant to which Outlook Therapeutics, Inc. (the "Issuer") sold shares of common stock, and, for each such share of common stock, accompanying warrants to purchase two shares of common stock, at a purchase price of $1.40 per share and accompanying warrant. F2 · ownership.nature: These securities are held of record by GMS Ventures and Investments ("GMS Ventures"). Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F3 · ownership.nature: By virtue of the relationships described above in Footnote 2, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| January 17, 2025 Filed Jan 22, 2025 21:11 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | GrantWarrants (right to buy) · Derivative | 3,458,571 | Not disclosed Strike: $2.26 | Not disclosed |
DisclosureSEC source: 0000947871-25-000062 · ownership.xml · derivative · entry 5 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 3,458,571 Underlying: Common Stock · 3,458,571 shares Expires not disclosed F1 · price: Pursuant to the terms of a warrant exercise inducement offer letter agreement, dated as of January 16, 2025, by and between Outlook Therapeutics, Inc. (the "Issuer") and GMS Ventures and Investments ("GMS Ventures"), GMS Ventures agreed to exercise its existing warrant to purchase shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"), at a reduced exercise price of $2.51 per share in exchange for the Issuer's agreement to issue new warrants to purchase 6,917,142 shares of Common Stock. F2 · derivative.exercise_date: This warrant will be exercisable upon the effective date (the "Effective Date") of an amendment to the Issuer's Certificate of Incorporation increasing the number of authorized shares of Common Stock issuable thereunder and will expire five years following the Effective Date. F2 · derivative.expiration_date: This warrant will be exercisable upon the effective date (the "Effective Date") of an amendment to the Issuer's Certificate of Incorporation increasing the number of authorized shares of Common Stock issuable thereunder and will expire five years following the Effective Date. F3 · ownership.nature: These securities are held of record by GMS Ventures. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F4 · ownership.nature: By virtue of the relationships described above in Footnote 3, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| January 17, 2025 Filed Jan 22, 2025 21:11 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | GrantWarrants (right to buy) · Derivative | 3,458,571 | Not disclosed Strike: $2.26 | Not disclosed |
DisclosureSEC source: 0000947871-25-000062 · ownership.xml · derivative · entry 4 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 3,458,571 Underlying: Common Stock · 3,458,571 shares Expires 2030-01-17 F1 · price: Pursuant to the terms of a warrant exercise inducement offer letter agreement, dated as of January 16, 2025, by and between Outlook Therapeutics, Inc. (the "Issuer") and GMS Ventures and Investments ("GMS Ventures"), GMS Ventures agreed to exercise its existing warrant to purchase shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"), at a reduced exercise price of $2.51 per share in exchange for the Issuer's agreement to issue new warrants to purchase 6,917,142 shares of Common Stock. F3 · ownership.nature: These securities are held of record by GMS Ventures. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F4 · ownership.nature: By virtue of the relationships described above in Footnote 3, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| January 17, 2025 Filed Jan 22, 2025 21:11 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | Exercise / conversionWarrants (right to buy) · Derivative | 3,458,571 | Not disclosed Strike: $2.51 | Not disclosed |
DisclosureSEC source: 0000947871-25-000062 · ownership.xml · derivative · entry 3 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 3,458,571 shares Expires 2029-03-18 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Pursuant to the terms of a warrant exercise inducement offer letter agreement, dated as of January 16, 2025, by and between Outlook Therapeutics, Inc. (the "Issuer") and GMS Ventures and Investments ("GMS Ventures"), GMS Ventures agreed to exercise its existing warrant to purchase shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"), at a reduced exercise price of $2.51 per share in exchange for the Issuer's agreement to issue new warrants to purchase 6,917,142 shares of Common Stock. F3 · ownership.nature: These securities are held of record by GMS Ventures. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F4 · ownership.nature: By virtue of the relationships described above in Footnote 3, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| January 17, 2025 Filed Jan 22, 2025 21:11 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | GrantWarrants (right to buy) · Derivative | 3,458,571 | Not disclosed Strike: $2.51 | Not disclosed |
DisclosureSEC source: 0000947871-25-000062 · ownership.xml · derivative · entry 2 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 3,458,571 Underlying: Common Stock · 3,458,571 shares Expires 2029-03-18 F1 · price: Pursuant to the terms of a warrant exercise inducement offer letter agreement, dated as of January 16, 2025, by and between Outlook Therapeutics, Inc. (the "Issuer") and GMS Ventures and Investments ("GMS Ventures"), GMS Ventures agreed to exercise its existing warrant to purchase shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"), at a reduced exercise price of $2.51 per share in exchange for the Issuer's agreement to issue new warrants to purchase 6,917,142 shares of Common Stock. F3 · ownership.nature: These securities are held of record by GMS Ventures. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F4 · ownership.nature: By virtue of the relationships described above in Footnote 3, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| January 17, 2025 Filed Jan 22, 2025 21:11 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | Disposition to issuerWarrants (right to buy) · Derivative | 3,458,571 | Not disclosed Strike: $7.70 | Not disclosed |
DisclosureSEC source: 0000947871-25-000062 · ownership.xml · derivative · entry 1 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 0 Underlying: Common Stock · 3,458,571 shares Expires 2029-03-18 F1 · price: Pursuant to the terms of a warrant exercise inducement offer letter agreement, dated as of January 16, 2025, by and between Outlook Therapeutics, Inc. (the "Issuer") and GMS Ventures and Investments ("GMS Ventures"), GMS Ventures agreed to exercise its existing warrant to purchase shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"), at a reduced exercise price of $2.51 per share in exchange for the Issuer's agreement to issue new warrants to purchase 6,917,142 shares of Common Stock. F3 · ownership.nature: These securities are held of record by GMS Ventures. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F4 · ownership.nature: By virtue of the relationships described above in Footnote 3, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| January 17, 2025 Filed Mar 13, 2025 00:56 UTC Amendment | Outlook Therapeutics, Inc. OTLK · Entity 608 | Exercise / conversionCommon Stock | 3,458,571 | $2.51 | $8,681,013.21 |
DisclosureSEC source: 0000947871-25-000306 · ownership.xml · nonDerivative · entry 1 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 9,266,645 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: On January 22, 2025, the Reporting Persons filed a Form 4 reporting the exercise of certain warrants to purchase shares of the Issuer's common stock. This amendment is being filed to report the receipt of shares of the Issuer's common stock upon the exercise of such warrants and to correct the date of earliest transaction reported. F2 · kind: Pursuant to the terms of a warrant exercise inducement offer letter agreement, dated as of January 16, 2025, by and between Outlook Therapeutics, Inc. (the "Issuer") and GMS Ventures and Investments ("GMS Ventures"), GMS Ventures agreed to exercise its existing warrant to purchase shares of the Issuer's common stock, par value $0.01 per share (the "Common Stock"), at a reduced exercise price of $2.51 per share in exchange for the Company's agreement to issue new warrants to purchase 6,917,142 shares of Common Stock. F3 · ownership.nature: These securities are held of record by GMS Ventures. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F4 · ownership.nature: By virtue of the relationships described above in Footnote 3, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| March 18, 2024 Filed Mar 20, 2024 21:20 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | GrantWarrants (right to buy) · Derivative | 3,458,571 | Not disclosed Strike: $7.70 | Not disclosed |
DisclosureSEC source: 0000947871-24-000291 · ownership.xml · derivative · entry 2 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 3,458,571 Underlying: Common Stock · 3,458,571 shares Expires 2029-03-18 F1 · kind: Acquired in a private placement transaction pursuant to the terms of the Securities Purchase Agreement (the "SPA"), dated as of January 22, 2024, between Outlook Therapeutics, Inc. (the "Issuer") and certain institutional and accredited investors, including GMS Ventures and Investments ("GMS Ventures"), pursuant to which the Issuer sold shares of common stock, and, for each such share of common stock, accompanying warrants to purchase up to one and a half shares of common stock, at a purchase price of $7.00 per share and accompanying warrant. Under the SPA, the purchase by GMS Ventures of 2,305,714 shares of common stock and warrants to acquire 3,458,571 shares of common stock closed on March 18, 2024. F1 · price: Acquired in a private placement transaction pursuant to the terms of the Securities Purchase Agreement (the "SPA"), dated as of January 22, 2024, between Outlook Therapeutics, Inc. (the "Issuer") and certain institutional and accredited investors, including GMS Ventures and Investments ("GMS Ventures"), pursuant to which the Issuer sold shares of common stock, and, for each such share of common stock, accompanying warrants to purchase up to one and a half shares of common stock, at a purchase price of $7.00 per share and accompanying warrant. Under the SPA, the purchase by GMS Ventures of 2,305,714 shares of common stock and warrants to acquire 3,458,571 shares of common stock closed on March 18, 2024. F3 · ownership.nature: These securities are held of record by GMS Ventures. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F4 · ownership.nature: By virtue of the relationships described above in Footnote 3, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| March 18, 2024 Filed Mar 20, 2024 21:20 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | GrantCommon Stock | 2,305,714 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-24-000291 · ownership.xml · nonDerivative · entry 1 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: No plan indicated Ownership: Indirect · See footnote Disclosed balance after: 5,808,074 F1 · kind: Acquired in a private placement transaction pursuant to the terms of the Securities Purchase Agreement (the "SPA"), dated as of January 22, 2024, between Outlook Therapeutics, Inc. (the "Issuer") and certain institutional and accredited investors, including GMS Ventures and Investments ("GMS Ventures"), pursuant to which the Issuer sold shares of common stock, and, for each such share of common stock, accompanying warrants to purchase up to one and a half shares of common stock, at a purchase price of $7.00 per share and accompanying warrant. Under the SPA, the purchase by GMS Ventures of 2,305,714 shares of common stock and warrants to acquire 3,458,571 shares of common stock closed on March 18, 2024. F1 · price: Acquired in a private placement transaction pursuant to the terms of the Securities Purchase Agreement (the "SPA"), dated as of January 22, 2024, between Outlook Therapeutics, Inc. (the "Issuer") and certain institutional and accredited investors, including GMS Ventures and Investments ("GMS Ventures"), pursuant to which the Issuer sold shares of common stock, and, for each such share of common stock, accompanying warrants to purchase up to one and a half shares of common stock, at a purchase price of $7.00 per share and accompanying warrant. Under the SPA, the purchase by GMS Ventures of 2,305,714 shares of common stock and warrants to acquire 3,458,571 shares of common stock closed on March 18, 2024. F2 · balance_after: Effective March 14, 2024, every 20 issued and outstanding shares of the Issuer's common stock was automatically combined into one issued and outstanding share of the Issuer's common stock (the "Reverse Stock Split"). Prior to the Reverse Stock Split, GMS Ventures held 70,047,204 shares of common stock and, as a result of the Reverse Stock Split, such shares of common stock became 3,502,360 shares of common stock. F3 · ownership.nature: These securities are held of record by GMS Ventures. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F4 · ownership.nature: By virtue of the relationships described above in Footnote 3, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| December 28, 2022 Filed Dec 29, 2022 22:01 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | GrantCommon Stock | 14,230,418 | $0.88 | $12,499,999.17 |
DisclosureSEC source: 0000947871-22-001263 · ownership.xml · nonDerivative · entry 1 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 70,047,204 F1 · kind: These securities are held of record by GMS Ventures & Investments ("GMS Ventures"). Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F1 · ownership.nature: These securities are held of record by GMS Ventures & Investments ("GMS Ventures"). Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F2 · ownership.nature: By virtue of the relationships described above in Footnote 1, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| April 21, 2022 Filed Jul 7, 2022 21:27 UTC Amendment | Outlook Therapeutics, Inc. OTLK · Entity 608 | OtherCommon Stock | 27,982,529 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-22-000751 · ownership.xml · nonDerivative · entry 1 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 55,816,786 F1 · security: This Form 4/A corrects and replaces the Form 4 filed on April 22, 2022 (the "Original Form 4"), which due to an administrative error incorrectly identified Faisal Ghiath Sukhtian as a Reporting Person. The correct Reporting Person is Ghiath M. Sukhtian ("Ghiath Sukhtian"). No other changes have been made to the Original Form 4. F2 · kind: On April 21, 2022, GMS Ventures & Investments ("GMS Ventures") entered into a share purchase agreement with BioLexis Pte Ltd. ("BioLexis"), pursuant to which, in connection with the transactions contemplated thereby (the "Restructuring"), GMS Ventures took direct ownership of the Issuer's shares that GMS Ventures and its affiliates (collectively, "GMS") indirectly held through its ownership in BioLexis. Upon the completion of the Restructuring, GMS will no longer be a shareholder in BioLexis. The transfer of the Issuer's shares to GMS Ventures in connection with the Restructuring occurred at the historic cost basis of GMS's investment in BioLexis for accounting purposes. The Reporting Persons hereby undertake to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the price at which the transfer was effected. F2 · price: On April 21, 2022, GMS Ventures & Investments ("GMS Ventures") entered into a share purchase agreement with BioLexis Pte Ltd. ("BioLexis"), pursuant to which, in connection with the transactions contemplated thereby (the "Restructuring"), GMS Ventures took direct ownership of the Issuer's shares that GMS Ventures and its affiliates (collectively, "GMS") indirectly held through its ownership in BioLexis. Upon the completion of the Restructuring, GMS will no longer be a shareholder in BioLexis. The transfer of the Issuer's shares to GMS Ventures in connection with the Restructuring occurred at the historic cost basis of GMS's investment in BioLexis for accounting purposes. The Reporting Persons hereby undertake to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the price at which the transfer was effected. F3 · ownership.nature: These securities are held of record by GMS Ventures. Ghiath Sukhtian, a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F4 · ownership.nature: By virtue of the relationships described above in Footnote 2, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| February 01, 2022 Filed Feb 1, 2022 22:05 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | OtherCommon Stock | 2,500,000 | $1.25 | $3,125,000.00 |
DisclosureSEC source: 0000947871-22-000124 · ownership.xml · nonDerivative · entry 1 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 27,982,529 F1 · kind: On January 31, 2022, GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, entered into a securities purchase agreement with Tenshi Life Sciences Private Limited and Tenshi Life Sciences Pte. Limited (collectively, "Tenshi"), both private investment vehicles controlled by Arun Pillai Kumar, pursuant to which GMS Pharma purchased from Tenshi approximately 4.9% of the outstanding shares of BioLexis Pte Ltd. (the "Share Purchase"), which corresponds to 2,500,000 shares of the Issuer held by BioLexis. The Share Purchase closed on February 1, 2022. F2 · kind: These securities are held of record by BioLexis and represent the number securities in which Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, may be deemed to have an indirect pecuniary interest in by virtue of the relationships described herein. GMS Pharma is a beneficial owner of BioLexis. Ghiath Sukhtian is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. Ghiath Sukhtian 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 his pecuniary interest therein, if any. BioLexis has designated one representative to serve on the Issuer's board of directors. This report shall not be deemed an admission that Ghiath Sukhtian is the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. F1 · ownership.nature: On January 31, 2022, GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, entered into a securities purchase agreement with Tenshi Life Sciences Private Limited and Tenshi Life Sciences Pte. Limited (collectively, "Tenshi"), both private investment vehicles controlled by Arun Pillai Kumar, pursuant to which GMS Pharma purchased from Tenshi approximately 4.9% of the outstanding shares of BioLexis Pte Ltd. (the "Share Purchase"), which corresponds to 2,500,000 shares of the Issuer held by BioLexis. The Share Purchase closed on February 1, 2022. F2 · ownership.nature: These securities are held of record by BioLexis and represent the number securities in which Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, may be deemed to have an indirect pecuniary interest in by virtue of the relationships described herein. GMS Pharma is a beneficial owner of BioLexis. Ghiath Sukhtian is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. Ghiath Sukhtian 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 his pecuniary interest therein, if any. BioLexis has designated one representative to serve on the Issuer's board of directors. This report shall not be deemed an admission that Ghiath Sukhtian is the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| November 29, 2021 Filed Dec 2, 2021 00:32 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | PurchaseCommon Stock | 16,000,000 | $1.25 | $20,000,000.00 |
DisclosureSEC source: 0000947871-21-001250 · ownership.xml · nonDerivative · entry 1 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 27,834,257 F1 · ownership.nature: These securities are held of record by GMS Ventures and Investments ("GMS Ventures"). Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated one representative to serve on the Issuer's board of directors. Therefore, GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F2 · ownership.nature: By virtue of the relationships described above in Footnote 1, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| February 10, 2021 Filed Feb 11, 2021 22:46 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | GrantCommon Stock | 1,013,627 | $1.00 | $1,013,627.00 |
DisclosureSEC source: 0000947871-21-000155 · ownership.xml · nonDerivative · entry 1 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 11,834,257 F1 · ownership.nature: These securities are held of record by GMS Ventures and Investments ("GMS Ventures"). Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated one representative to serve on the Issuer's board of directors. Therefore, GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F2 · ownership.nature: By virtue of the relationships described above in Footnote 1, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| February 02, 2021 Filed Feb 2, 2021 22:32 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | PurchaseCommon Stock | 8,360,000 | $1.00 | $8,360,000.00 |
DisclosureSEC source: 0000947871-21-000128 · ownership.xml · nonDerivative · entry 1 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 10,820,630 F1 · ownership.nature: These securities are held of record by GMS Ventures and Investments ("GMS Ventures"). Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated one representative to serve on the Issuer's board of directors. Therefore, GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F2 · ownership.nature: By virtue of the relationships described above in Footnote 1, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| March 23, 2020 Filed Mar 23, 2020 21:35 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | Exercise / conversionSeries A-1 Convertible Preferred Stock · Derivative | 68,112 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-20-000253 · ownership.xml · derivative · entry 5 BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 29,358,621 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date. F2 · derivative.exercise_price: On March 19, 2020, the Issuer's stockholders approved, and the Issuer subsequently filed, a Certificate of Amendment of the Certificate of Designation of the Series A-1 Preferred Stock, which increased the effective conversion ratio of the Series A-1 Preferred Stock from $18.89797 per share to $431.03447263 per share. F1 · price: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date. F2 · price: On March 19, 2020, the Issuer's stockholders approved, and the Issuer subsequently filed, a Certificate of Amendment of the Certificate of Designation of the Series A-1 Preferred Stock, which increased the effective conversion ratio of the Series A-1 Preferred Stock from $18.89797 per share to $431.03447263 per share. F1 · derivative.exercise_date: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date. F1 · derivative.expiration_date: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date. F3 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. F4 · ownership.direct: By virtue of the relationships described above in Footnote 3, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated a representative to serve on the Issuer's board of directors. Therefore, BioLexis, GMS Pharma, Tenshi, Kumar and Ghiath Sukhtian may each be deemed a director by deputization. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| March 23, 2020 Filed Mar 23, 2020 21:35 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | Exercise / conversionCommon Stock | 29,358,621 | $0.00 | $0.00 |
DisclosureSEC source: 0000947871-20-000253 · ownership.xml · nonDerivative · entry 1 BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,965,058 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date. F2 · price: On March 19, 2020, the Issuer's stockholders approved, and the Issuer subsequently filed, a Certificate of Amendment of the Certificate of Designation of the Series A-1 Preferred Stock, which increased the effective conversion ratio of the Series A-1 Preferred Stock from $18.89797 per share to $431.03447263 per share. F3 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. F4 · ownership.direct: By virtue of the relationships described above in Footnote 3, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated a representative to serve on the Issuer's board of directors. Therefore, BioLexis, GMS Pharma, Tenshi, Kumar and Ghiath Sukhtian may each be deemed a director by deputization. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| March 19, 2020 Filed Mar 23, 2020 21:35 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | GrantSeries A-1 Convertible Preferred Stock · Derivative | 68,112 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-20-000253 · ownership.xml · derivative · entry 4 BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,112 Underlying: Common Stock · 29,358,621 shares Expires not disclosed F1 · derivative.exercise_price: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date. F2 · derivative.exercise_price: On March 19, 2020, the Issuer's stockholders approved, and the Issuer subsequently filed, a Certificate of Amendment of the Certificate of Designation of the Series A-1 Preferred Stock, which increased the effective conversion ratio of the Series A-1 Preferred Stock from $18.89797 per share to $431.03447263 per share. F2 · shares: On March 19, 2020, the Issuer's stockholders approved, and the Issuer subsequently filed, a Certificate of Amendment of the Certificate of Designation of the Series A-1 Preferred Stock, which increased the effective conversion ratio of the Series A-1 Preferred Stock from $18.89797 per share to $431.03447263 per share. F1 · price: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date. F2 · price: On March 19, 2020, the Issuer's stockholders approved, and the Issuer subsequently filed, a Certificate of Amendment of the Certificate of Designation of the Series A-1 Preferred Stock, which increased the effective conversion ratio of the Series A-1 Preferred Stock from $18.89797 per share to $431.03447263 per share. F1 · derivative.exercise_date: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date. F1 · derivative.expiration_date: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date. F3 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. F4 · ownership.direct: By virtue of the relationships described above in Footnote 3, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated a representative to serve on the Issuer's board of directors. Therefore, BioLexis, GMS Pharma, Tenshi, Kumar and Ghiath Sukhtian may each be deemed a director by deputization. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| March 19, 2020 Filed Mar 23, 2020 21:35 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | Disposition to issuerSeries A-1 Convertible Preferred Stock · Derivative | 68,112 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-20-000253 · ownership.xml · derivative · entry 3 BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,287,178 shares Expires not disclosed F1 · derivative.exercise_price: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date. F2 · derivative.exercise_price: On March 19, 2020, the Issuer's stockholders approved, and the Issuer subsequently filed, a Certificate of Amendment of the Certificate of Designation of the Series A-1 Preferred Stock, which increased the effective conversion ratio of the Series A-1 Preferred Stock from $18.89797 per share to $431.03447263 per share. F2 · shares: On March 19, 2020, the Issuer's stockholders approved, and the Issuer subsequently filed, a Certificate of Amendment of the Certificate of Designation of the Series A-1 Preferred Stock, which increased the effective conversion ratio of the Series A-1 Preferred Stock from $18.89797 per share to $431.03447263 per share. F1 · price: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date. F2 · price: On March 19, 2020, the Issuer's stockholders approved, and the Issuer subsequently filed, a Certificate of Amendment of the Certificate of Designation of the Series A-1 Preferred Stock, which increased the effective conversion ratio of the Series A-1 Preferred Stock from $18.89797 per share to $431.03447263 per share. F1 · derivative.exercise_date: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date. F1 · derivative.expiration_date: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date. F3 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. F4 · ownership.direct: By virtue of the relationships described above in Footnote 3, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated a representative to serve on the Issuer's board of directors. Therefore, BioLexis, GMS Pharma, Tenshi, Kumar and Ghiath Sukhtian may each be deemed a director by deputization. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| February 26, 2020 Filed Feb 27, 2020 22:10 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | GrantWarrants · Derivative | 1,230,315 | $0.13 Strike: $0.95 | $153,789.38 |
DisclosureSEC source: 0000947871-20-000157 · ownership.xml · derivative · entry 3 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,230,315 Underlying: Common Stock · 1,230,315 shares Expires 2024-02-26 F1 · ownership.nature: These securities are held of record by GMS Ventures and Investments ("GMS Ventures"). Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated one representative to serve on the Issuer's board of directors. Therefore, GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F2 · ownership.nature: By virtue of the relationships described above in Footnote 1, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| February 26, 2020 Filed Feb 27, 2020 22:10 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | GrantCommon Stock | 2,460,630 | $1.02 | $2,500,000.08 |
DisclosureSEC source: 0000947871-20-000157 · ownership.xml · nonDerivative · entry 1 Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner GMS Ventures & Investments · CIK 0001804598 · Director Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 2,460,630 F1 · ownership.nature: These securities are held of record by GMS Ventures and Investments ("GMS Ventures"). Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated one representative to serve on the Issuer's board of directors. Therefore, GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization. F2 · ownership.nature: By virtue of the relationships described above in Footnote 1, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| January 29, 2020 Filed Jan 29, 2020 22:53 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | Exercise / conversionWarrant (Right to Buy) · Derivative | 1,282,051 | $1.00 Strike: $0.23 | $1,282,051.00 |
DisclosureSEC source: 0001209191-20-005415 · doc4.xml · derivative · entry 10 BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,282,051 shares Expires 2026-06-08 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: Immediately exercisable. F1 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. F2 · ownership.direct: By virtue of the relationships described above in Footnote 1, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| January 29, 2020 Filed Jan 29, 2020 22:53 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | Exercise / conversionWarrant (Right to Buy) · Derivative | 1,282,051 | $1.00 Strike: $0.23 | $1,282,051.00 |
DisclosureSEC source: 0001209191-20-005415 · doc4.xml · derivative · entry 9 BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,282,051 shares Expires 2026-05-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: Immediately exercisable. F1 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. F2 · ownership.direct: By virtue of the relationships described above in Footnote 1, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| January 29, 2020 Filed Jan 29, 2020 22:53 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | Exercise / conversionWarrant (Right to Buy) · Derivative | 2,093,750 | $0.00 Strike: $0.23 | $0.00 |
DisclosureSEC source: 0001209191-20-005415 · doc4.xml · derivative · entry 8 BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,093,750 shares Expires 2025-10-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · price: This Warrant was issued to BioLexis in consideration of its purchase of Series A Preferred Stock pursuant to that certain Purchase Agreement dated October 31, 2017. F5 · derivative.exercise_date: Immediately exercisable. F1 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. F2 · ownership.direct: By virtue of the relationships described above in Footnote 1, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| January 29, 2020 Filed Jan 29, 2020 22:53 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | Exercise / conversionCommon Stock | 4,657,852 | $0.23 | $1,080,621.66 |
DisclosureSEC source: 0001209191-20-005415 · doc4.xml · nonDerivative · entry 1 BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,606,437 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. F2 · ownership.direct: By virtue of the relationships described above in Footnote 1, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| January 27, 2020 Filed Jan 29, 2020 22:53 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | GrantWarrant (Right to Buy) · Derivative | 1,282,051 | $1.00 Strike: $0.23 | $1,282,051.00 |
DisclosureSEC source: 0001209191-20-005415 · doc4.xml · derivative · entry 7 BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,282,051 Underlying: Common Stock · 1,282,051 shares Expires 2026-06-08 F8 · kind: The two reported transactions involved an amendment of an outstanding Warrant, resulting in the deemed cancellation of the "old" Warrant and the issuance of a replacement Warrant. The Warrant was originally issued on June 8, 2018. F3 · price: Reflects the 1:8 reverse stock split effected by the Issuer on March 15, 2019. F5 · derivative.exercise_date: Immediately exercisable. F1 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. F2 · ownership.direct: By virtue of the relationships described above in Footnote 1, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| January 27, 2020 Filed Jan 29, 2020 22:53 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | Disposition to issuerWarrant (Right to Buy) · Derivative | 1,282,051 | $1.00 Strike: $7.80 | $1,282,051.00 |
DisclosureSEC source: 0001209191-20-005415 · doc4.xml · derivative · entry 6 BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,282,051 shares Expires 2026-06-08 F3 · derivative.exercise_price: Reflects the 1:8 reverse stock split effected by the Issuer on March 15, 2019. F8 · kind: The two reported transactions involved an amendment of an outstanding Warrant, resulting in the deemed cancellation of the "old" Warrant and the issuance of a replacement Warrant. The Warrant was originally issued on June 8, 2018. F3 · shares: Reflects the 1:8 reverse stock split effected by the Issuer on March 15, 2019. F3 · price: Reflects the 1:8 reverse stock split effected by the Issuer on March 15, 2019. F5 · derivative.exercise_date: Immediately exercisable. F1 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. F2 · ownership.direct: By virtue of the relationships described above in Footnote 1, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| January 27, 2020 Filed Jan 29, 2020 22:53 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | GrantWarrant (Right to Buy) · Derivative | 1,282,051 | $1.00 Strike: $0.23 | $1,282,051.00 |
DisclosureSEC source: 0001209191-20-005415 · doc4.xml · derivative · entry 5 BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,282,051 Underlying: Common Stock · 1,282,051 shares Expires 2026-05-14 F7 · kind: The two reported transactions involved an amendment of an outstanding Warrant, resulting in the deemed cancellation of the "old" Warrant and the issuance of a replacement Warrant. The Warrant was originally issued on May 14, 2018. F3 · price: Reflects the 1:8 reverse stock split effected by the Issuer on March 15, 2019. F5 · derivative.exercise_date: Immediately exercisable. F1 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. F2 · ownership.direct: By virtue of the relationships described above in Footnote 1, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| January 27, 2020 Filed Jan 29, 2020 22:53 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | Disposition to issuerWarrant (Right to Buy) · Derivative | 1,282,051 | $1.00 Strike: $7.80 | $1,282,051.00 |
DisclosureSEC source: 0001209191-20-005415 · doc4.xml · derivative · entry 4 BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,282,051 shares Expires 2026-05-14 F3 · derivative.exercise_price: Reflects the 1:8 reverse stock split effected by the Issuer on March 15, 2019. F7 · kind: The two reported transactions involved an amendment of an outstanding Warrant, resulting in the deemed cancellation of the "old" Warrant and the issuance of a replacement Warrant. The Warrant was originally issued on May 14, 2018. F3 · shares: Reflects the 1:8 reverse stock split effected by the Issuer on March 15, 2019. F3 · price: Reflects the 1:8 reverse stock split effected by the Issuer on March 15, 2019. F5 · derivative.exercise_date: Immediately exercisable. F1 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. F2 · ownership.direct: By virtue of the relationships described above in Footnote 1, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| January 27, 2020 Filed Jan 29, 2020 22:53 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | GrantWarrant (Right to Buy) · Derivative | 2,093,750 | $0.00 Strike: $0.23 | $0.00 |
DisclosureSEC source: 0001209191-20-005415 · doc4.xml · derivative · entry 3 BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,039,750 Underlying: Common Stock · 2,039,750 shares Expires 2025-10-31 F4 · kind: The two reported transactions involved an amendment of an outstanding Warrant, resulting in the deemed cancellation of the "old" Warrant and the issuance of a replacement Warrant. The Warrant was originally issued on October 31, 2017. F6 · price: This Warrant was issued to BioLexis in consideration of its purchase of Series A Preferred Stock pursuant to that certain Purchase Agreement dated October 31, 2017. F5 · derivative.exercise_date: Immediately exercisable. F1 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. F2 · ownership.direct: By virtue of the relationships described above in Footnote 1, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| January 27, 2020 Filed Jan 29, 2020 22:53 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | Disposition to issuerWarrant (Right to Buy) · Derivative | 2,093,750 | $0.00 Strike: $7.20 | $0.00 |
DisclosureSEC source: 0001209191-20-005415 · doc4.xml · derivative · entry 2 BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,093,750 shares Expires 2025-10-31 F3 · derivative.exercise_price: Reflects the 1:8 reverse stock split effected by the Issuer on March 15, 2019. F4 · kind: The two reported transactions involved an amendment of an outstanding Warrant, resulting in the deemed cancellation of the "old" Warrant and the issuance of a replacement Warrant. The Warrant was originally issued on October 31, 2017. F3 · shares: Reflects the 1:8 reverse stock split effected by the Issuer on March 15, 2019. F6 · price: This Warrant was issued to BioLexis in consideration of its purchase of Series A Preferred Stock pursuant to that certain Purchase Agreement dated October 31, 2017. F5 · derivative.exercise_date: Immediately exercisable. F1 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. F2 · ownership.direct: By virtue of the relationships described above in Footnote 1, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| December 31, 2019 Filed Dec 31, 2019 22:15 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | OtherSeries A-1 Convertible Preferred Stock · Derivative | 1,661 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-062314 · doc4.xml · derivative · entry 1 BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,112 Underlying: Common Stock · 31,389 shares Expires not disclosed F1 · derivative.exercise_price: Each share of the Series A-1 Convertible Preferred Stock (the "Series A-1") is convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares") at any time at the election of the holder. The Series A-1 has no expiration date. F2 · kind: Represents shares of Series A-1 received by BioLexis Pte Ltd. ("BioLexis") as a payment-in-kind dividend on previously acquired Series A-1. F2 · shares: Represents shares of Series A-1 received by BioLexis Pte Ltd. ("BioLexis") as a payment-in-kind dividend on previously acquired Series A-1. F1 · derivative.exercise_date: Each share of the Series A-1 Convertible Preferred Stock (the "Series A-1") is convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares") at any time at the election of the holder. The Series A-1 has no expiration date. F1 · derivative.expiration_date: Each share of the Series A-1 Convertible Preferred Stock (the "Series A-1") is convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares") at any time at the election of the holder. The Series A-1 has no expiration date. F3 · ownership.direct: These securities are held of record by BioLexis. Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. F4 · ownership.direct: By virtue of the relationships described above in Footnote 3, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| December 23, 2019 Filed Dec 30, 2019 22:14 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | Exercise / conversionWarrant (Right to Buy) · Derivative | 3,636,364 | Not disclosed Strike: $0.23 | Not disclosed |
DisclosureSEC source: 0001209191-19-062163 · doc4.xml · derivative · entry 2 BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,636,364 shares Expires 2019-12-24 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · price: The Warrant was acquired by BioLexis in the Issuer's April 2019 public offering of shares and accompanying warrants at a combined purchase price of $2.75 per share of Common Stock and accompanying 15-month warrants and 5-year warrants. The Warrants originally had an exercise price of $2.90 per share but were amended on 12/23/2019 to reduce the exercise price to $0.232 per share and shorten the expiration date to 12/24/2019. F4 · derivative.exercise_date: Immediately exercisable. F5 · derivative.expiration_date: The Warrant was acquired by BioLexis in the Issuer's April 2019 public offering of shares and accompanying warrants at a combined purchase price of $2.75 per share of Common Stock and accompanying 15-month warrants and 5-year warrants. The Warrants originally had an exercise price of $2.90 per share but were amended on 12/23/2019 to reduce the exercise price to $0.232 per share and shorten the expiration date to 12/24/2019. F2 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. F3 · ownership.direct: By virtue of the relationships described above in Footnote 2, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| December 23, 2019 Filed Dec 30, 2019 22:14 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | Exercise / conversionCommon Stock | 2,909,091 | $0.23 | $674,909.11 |
DisclosureSEC source: 0001209191-19-062163 · doc4.xml · nonDerivative · entry 1 BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,948,585 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Represents the actual number of shares of common stock received upon the net exercise of such warrant in full in accordance with its amended terms. F2 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. F3 · ownership.direct: By virtue of the relationships described above in Footnote 2, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| September 30, 2019 Filed Sep 30, 2019 21:43 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | OtherSeries A-1 Convertible Preferred Stock · Derivative | 1,620 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-051134 · doc4.xml · derivative · entry 1 BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,451 Underlying: Common Stock · 30,614 shares Expires not disclosed F1 · derivative.exercise_price: Each share of the Series A-1 Convertible Preferred Stock (the "Series A-1") is convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares") at any time at the election of the holder. The Series A-1 has no expiration date. F2 · kind: Represents shares of Series A-1 received by BioLexis Pte Ltd. ("BioLexis") as a payment-in-kind dividend on previously acquired Series A-1. F2 · shares: Represents shares of Series A-1 received by BioLexis Pte Ltd. ("BioLexis") as a payment-in-kind dividend on previously acquired Series A-1. F1 · derivative.exercise_date: Each share of the Series A-1 Convertible Preferred Stock (the "Series A-1") is convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares") at any time at the election of the holder. The Series A-1 has no expiration date. F1 · derivative.expiration_date: Each share of the Series A-1 Convertible Preferred Stock (the "Series A-1") is convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares") at any time at the election of the holder. The Series A-1 has no expiration date. F3 · ownership.direct: These securities are held of record by BioLexis. Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. F4 · ownership.direct: By virtue of the relationships described above in Footnote 3, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| June 30, 2019 Filed Jul 1, 2019 21:06 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | OtherSeries A-1 Convertible Preferred Stock · Derivative | 1,581 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-039777 · doc4.xml · derivative · entry 1 BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,831 Underlying: Common Stock · 29,877 shares Expires not disclosed F1 · derivative.exercise_price: Each share of the Series A-1 Convertible Preferred Stock (the "Series A-1") is convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares") at any time at the election of the holder. The Series A-1 has no expiration date. F2 · kind: Represents shares of Series A-1 received by BioLexis Pte Ltd. ("BioLexis") as a payment-in-kind dividend on previously acquired Series A-1. F2 · shares: Represents shares of Series A-1 received by BioLexis Pte Ltd. ("BioLexis") as a payment-in-kind dividend on previously acquired Series A-1. F1 · derivative.exercise_date: Each share of the Series A-1 Convertible Preferred Stock (the "Series A-1") is convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares") at any time at the election of the holder. The Series A-1 has no expiration date. F1 · derivative.expiration_date: Each share of the Series A-1 Convertible Preferred Stock (the "Series A-1") is convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares") at any time at the election of the holder. The Series A-1 has no expiration date. F3 · ownership.direct: These securities are held of record by BioLexis. Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. F4 · ownership.direct: By virtue of the relationships described above in Footnote 3, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| June 17, 2019 Filed Jun 19, 2019 22:18 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | Exercise / conversionWarrant (Right to Buy) · Derivative | 3,636,364 | Not disclosed Strike: $2.90 | Not disclosed |
DisclosureSEC source: 0001209191-19-038105 · doc4.xml · derivative · entry 2 BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,636,364 shares Expires 2020-07-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: Such warrant provides for the receipt of .60 of the underlying shares in a cashless exercise in the event the weighted average price is lower than the exercise price per share beginning May 12, 2019. F3 · ownership.direct: These securities are held of record by BioLexis. Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. F4 · ownership.direct: By virtue of the relationships described above in Footnote 2, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| June 17, 2019 Filed Jun 19, 2019 22:18 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | Exercise / conversionCommon Stock | 2,181,818 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-038105 · doc4.xml · nonDerivative · entry 1 BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,039,494 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Represents the actual number of shares of common stock received upon the exchange of such warrant in full in accordance with its terms. F2 · price: Such warrant provides for the receipt of .60 of the underlying shares in a cashless exercise in the event the weighted average price is lower than the exercise price per share beginning May 12, 2019. F3 · ownership.direct: These securities are held of record by BioLexis. Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. F4 · ownership.direct: By virtue of the relationships described above in Footnote 2, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| April 12, 2019 Filed Apr 16, 2019 21:35 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | GrantWarrant (Right to Buy) · Derivative | 3,636,364 | Not disclosed Strike: $2.90 | Not disclosed |
DisclosureSEC source: 0001209191-19-024794 · doc4.xml · derivative · entry 3 BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,636,364 Underlying: Common Stock · 3,636,364 shares Expires 2024-04-12 F1 · price: The Common Stock together with the 15-month and 5-year Common Stock Warrants reported in Table II herein were acquired by BioLexis Pte Ltd ("BioLexis") in the Issuers combined public offering of the Common Stock and accompanying Warrants. The purchase price for the combined offering of the shares of Common Stock and the accompanying Warrants is $2.75 per share. F4 · derivative.exercise_date: Immediately exercisable. F2 · ownership.direct: These securities are held of record by BioLexis. Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. F3 · ownership.direct: By virtue of the relationships described above in Footnote 2, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. Read SEC document |
| April 12, 2019 Filed Apr 16, 2019 21:35 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | GrantWarrant (Right to Buy) · Derivative | 3,636,364 | Not disclosed Strike: $2.90 | Not disclosed |
DisclosureSEC source: 0001209191-19-024794 · doc4.xml · derivative · entry 2 BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,636,364 Underlying: Common Stock · 3,636,364 shares Expires 2020-07-12 F1 · price: The Common Stock together with the 15-month and 5-year Common Stock Warrants reported in Table II herein were acquired by BioLexis Pte Ltd ("BioLexis") in the Issuers combined public offering of the Common Stock and accompanying Warrants. The purchase price for the combined offering of the shares of Common Stock and the accompanying Warrants is $2.75 per share. F4 · derivative.exercise_date: Immediately exercisable. F2 · ownership.direct: These securities are held of record by BioLexis. Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. F3 · ownership.direct: By virtue of the relationships described above in Footnote 2, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose. 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.