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 |
|---|---|---|---|---|---|---|
| April 12, 2019 Filed Apr 16, 2019 21:35 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | GrantCommon Stock | 3,636,364 | $2.75 | $10,000,001.00 |
DisclosureSEC source: 0001209191-19-024794 · 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: 11,857,676 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. 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 |
| March 31, 2019 Filed Apr 2, 2019 21:01 UTC | Outlook Therapeutics, Inc. OTLK · Entity 608 | OtherSeries A-1 Convertible Preferred Stock · Derivative | 1,542 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-022631 · 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: 63,250 Underlying: Common Stock · 29,140 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 |
| July 18, 2018 Filed Jul 20, 2018 14:29 UTC | Outlook Therapeutics, Inc. ONS · Entity 608 | GrantSeries A-1 Convertible Preferred Stock · Derivative | 58,735 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-18-000587 · ownership.xml · derivative · entry 3 GMS Tenshi Holdings 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: 58,735 Underlying: Common Stock · 8,879,780 shares Expires not disclosed F4 · derivative.exercise_price: Each share of Series A-1 Preferred Stock is convertible into Shares at any time at the election of the holder. The Series A-1 Preferred Stock has no expiration date. F3 · shares: Shares of Series A Preferred Stock was exchanged on a one-for-one basis for shares of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock"). F4 · price: Each share of Series A-1 Preferred Stock is convertible into Shares at any time at the election of the holder. The Series A-1 Preferred Stock has no expiration date. F4 · derivative.exercise_date: Each share of Series A-1 Preferred Stock is convertible into Shares at any time at the election of the holder. The Series A-1 Preferred Stock has no expiration date. F4 · derivative.expiration_date: Each share of Series A-1 Preferred Stock is convertible into Shares at any time at the election of the holder. The Series A-1 Preferred Stock has no expiration date. F5 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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. F6 · 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 GMS Tenshi 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. GMS Tenshi 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 |
| July 18, 2018 Filed Jul 20, 2018 14:29 UTC | Outlook Therapeutics, Inc. ONS · Entity 608 | Disposition to issuerSeries A Convertible Preferred Stock · Derivative | 58,735 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-18-000587 · ownership.xml · derivative · entry 2 GMS Tenshi Holdings 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 · 8,879,780 shares Expires not disclosed F1 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock ("Series A Preferred Stock") 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 Preferred Stock has no expiration date. F3 · shares: Shares of Series A Preferred Stock was exchanged on a one-for-one basis for shares of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock"). F1 · price: Each share of Series A Convertible Preferred Stock ("Series A Preferred Stock") 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 Preferred Stock has no expiration date. F1 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock ("Series A Preferred Stock") 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 Preferred Stock has no expiration date. F1 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock ("Series A Preferred Stock") 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 Preferred Stock has no expiration date. F5 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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. F6 · 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 GMS Tenshi 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. GMS Tenshi 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 |
| July 18, 2018 Filed Jul 20, 2018 14:29 UTC | Outlook Therapeutics, Inc. ONS · Entity 608 | GrantSeries A Convertible Preferred Stock · Derivative | 6,526 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-18-000587 · ownership.xml · derivative · entry 1 GMS Tenshi Holdings 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: 58,735 Underlying: Common Stock · 986,626 shares Expires not disclosed F1 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock ("Series A Preferred Stock") 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 Preferred Stock has no expiration date. F2 · shares: Represents shares of Series A Preferred Stock received by GMS Tenshi Holdings Pte. Limited ("GMS Tenshi") as a payment-in-kind dividend on previously purchased Series A Preferred Stock. F1 · price: Each share of Series A Convertible Preferred Stock ("Series A Preferred Stock") 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 Preferred Stock has no expiration date. F1 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock ("Series A Preferred Stock") 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 Preferred Stock has no expiration date. F1 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock ("Series A Preferred Stock") 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 Preferred Stock has no expiration date. F5 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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. F6 · 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 GMS Tenshi 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. GMS Tenshi 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 20, 2018 Filed Jun 25, 2018 21:22 UTC | Outlook Therapeutics, Inc. ONS · Entity 608 | ConversionSeries A Convertible Preferred Stock · Derivative | 208,836 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-18-000524 · ss96638_4.xml · derivative · entry 8 GMS Tenshi Holdings 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: 52,209 Underlying: Common Stock · 31,572,617 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 Convertible Preferred Stock ("Preferred Stock") is convertible into shares of the Issuer's common stock, par value $0.01 per share, at any time at the election of the holder. The Preferred Stock has no expiration date. F1 · price: Each share of Series A Convertible Preferred Stock ("Preferred Stock") is convertible into shares of the Issuer's common stock, par value $0.01 per share, at any time at the election of the holder. The Preferred Stock has no expiration date. F1 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock ("Preferred Stock") is convertible into shares of the Issuer's common stock, par value $0.01 per share, at any time at the election of the holder. The Preferred Stock has no expiration date. F1 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock ("Preferred Stock") is convertible into shares of the Issuer's common stock, par value $0.01 per share, at any time at the election of the holder. The Preferred Stock has no expiration date. F3 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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 GMS Tenshi 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"). F5 · ownership.direct: 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. GMS Tenshi 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 20, 2018 Filed Jun 25, 2018 21:22 UTC | Outlook Therapeutics, Inc. ONS · Entity 608 | ConversionCommon Stock | 31,572,617 | $0.00 | $0.00 |
DisclosureSEC source: 0000947871-18-000524 · ss96638_4.xml · nonDerivative · entry 3 GMS Tenshi Holdings 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: 44,327,383 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. F3 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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 GMS Tenshi 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"). F5 · ownership.direct: 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. GMS Tenshi 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 08, 2018 Filed Jun 25, 2018 21:22 UTC | Outlook Therapeutics, Inc. ONS · Entity 608 | GrantWarrants · Derivative | 10,256,410 | $0.13 Strike: $0.98 | $1,282,051.25 |
DisclosureSEC source: 0000947871-18-000524 · ss96638_4.xml · derivative · entry 5 GMS Tenshi Holdings 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: 20,512,820 Underlying: Common Stock · 10,256,410 shares Expires 2026-06-08 F3 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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 GMS Tenshi 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"). F5 · ownership.direct: 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. GMS Tenshi 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 08, 2018 Filed Jun 25, 2018 21:22 UTC | Outlook Therapeutics, Inc. ONS · Entity 608 | GrantCommon Stock | 6,377,383 | $0.98 | $6,217,948.43 |
DisclosureSEC source: 0000947871-18-000524 · ss96638_4.xml · nonDerivative · entry 2 GMS Tenshi Holdings 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: 12,754,766 F3 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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 GMS Tenshi 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"). F5 · ownership.direct: 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. GMS Tenshi 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 |
| May 14, 2018 Filed Jun 25, 2018 21:22 UTC | Outlook Therapeutics, Inc. ONS · Entity 608 | GrantWarrants · Derivative | 10,256,410 | $0.13 Strike: $0.98 | $1,282,051.25 |
DisclosureSEC source: 0000947871-18-000524 · ss96638_4.xml · derivative · entry 4 GMS Tenshi Holdings 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: 10,256,410 Underlying: Common Stock · 10,256,410 shares Expires 2026-05-14 F3 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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 GMS Tenshi 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"). F5 · ownership.direct: 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. GMS Tenshi 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 |
| May 14, 2018 Filed Jun 25, 2018 21:22 UTC | Outlook Therapeutics, Inc. ONS · Entity 608 | GrantCommon Stock | 6,377,383 | $0.98 | $6,217,948.43 |
DisclosureSEC source: 0000947871-18-000524 · ss96638_4.xml · nonDerivative · entry 1 GMS Tenshi Holdings 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: 6,377,383 F3 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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 GMS Tenshi 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"). F5 · ownership.direct: 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. GMS Tenshi 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 |
| March 31, 2018 Filed Jun 25, 2018 21:22 UTC | Outlook Therapeutics, Inc. ONS · Entity 608 | OtherSeries A Convertible Preferred Stock · Derivative | 6,367 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-18-000524 · ss96638_4.xml · derivative · entry 7 GMS Tenshi Holdings 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: 261,045 Underlying: Common Stock · 962,587 shares Expires not disclosed F1 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock ("Preferred Stock") is convertible into shares of the Issuer's common stock, par value $0.01 per share, at any time at the election of the holder. The Preferred Stock has no expiration date. F2 · shares: Represents shares of Preferred Stock received by GMS Tenshi Holdings Pte. Limited ("GMS Tenshi") as a payment-in-kind dividend on previously purchased Preferred Stock. F1 · price: Each share of Series A Convertible Preferred Stock ("Preferred Stock") is convertible into shares of the Issuer's common stock, par value $0.01 per share, at any time at the election of the holder. The Preferred Stock has no expiration date. F1 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock ("Preferred Stock") is convertible into shares of the Issuer's common stock, par value $0.01 per share, at any time at the election of the holder. The Preferred Stock has no expiration date. F1 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock ("Preferred Stock") is convertible into shares of the Issuer's common stock, par value $0.01 per share, at any time at the election of the holder. The Preferred Stock has no expiration date. F3 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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 GMS Tenshi 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"). F5 · ownership.direct: 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. GMS Tenshi 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, 2017 Filed Jun 25, 2018 21:22 UTC | Outlook Therapeutics, Inc. ONS · Entity 608 | OtherSeries A Convertible Preferred Stock · Derivative | 4,678 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000947871-18-000524 · ss96638_4.xml · derivative · entry 6 GMS Tenshi Holdings 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: 254,678 Underlying: Common Stock · 707,238 shares Expires not disclosed F1 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock ("Preferred Stock") is convertible into shares of the Issuer's common stock, par value $0.01 per share, at any time at the election of the holder. The Preferred Stock has no expiration date. F2 · shares: Represents shares of Preferred Stock received by GMS Tenshi Holdings Pte. Limited ("GMS Tenshi") as a payment-in-kind dividend on previously purchased Preferred Stock. F1 · price: Each share of Series A Convertible Preferred Stock ("Preferred Stock") is convertible into shares of the Issuer's common stock, par value $0.01 per share, at any time at the election of the holder. The Preferred Stock has no expiration date. F1 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock ("Preferred Stock") is convertible into shares of the Issuer's common stock, par value $0.01 per share, at any time at the election of the holder. The Preferred Stock has no expiration date. F1 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock ("Preferred Stock") is convertible into shares of the Issuer's common stock, par value $0.01 per share, at any time at the election of the holder. The Preferred Stock has no expiration date. F3 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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 GMS Tenshi 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"). F5 · ownership.direct: 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. GMS Tenshi 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 |
| October 31, 2017 Filed Nov 1, 2017 19:58 UTC | Outlook Therapeutics, Inc. ONS · Entity 608 | PurchaseWarrants · Derivative | 16,750,000 | Not disclosed Strike: $0.90 | Not disclosed |
DisclosureSEC source: 0000947871-17-000865 · ss65484_4.xml · derivative · entry 2 GMS Tenshi Holdings Pte. Ltd · CIK 0001716335 · Director · Chief Executive Officer · 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: 16,750,000 Underlying: Common Stock · 16,750,000 shares Expires not disclosed F2 · price: In consideration of GMS Tenshi Holdings Pte. Limited's ("GMS Tenshi") purchases of Preferred Stock, the Issuer issued GMS Tenshi warrants ("Warrants") to purchase shares of Common Stock. The Warrants are immediately exercisable when issued and are exercisable for eight years from the date of issuance. F2 · derivative.exercise_date: In consideration of GMS Tenshi Holdings Pte. Limited's ("GMS Tenshi") purchases of Preferred Stock, the Issuer issued GMS Tenshi warrants ("Warrants") to purchase shares of Common Stock. The Warrants are immediately exercisable when issued and are exercisable for eight years from the date of issuance. F2 · derivative.expiration_date: In consideration of GMS Tenshi Holdings Pte. Limited's ("GMS Tenshi") purchases of Preferred Stock, the Issuer issued GMS Tenshi warrants ("Warrants") to purchase shares of Common Stock. The Warrants are immediately exercisable when issued and are exercisable for eight years from the date of issuance. F3 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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 4, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Tenshi 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"). F5 · ownership.direct: 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. GMS Tenshi has designated four representatives, currently Faisal G. Sukhtian (a director of both GMS Pharma and GMS Holdings), Joe Thomas (a director and executive of a company controlled by Kumar), Claudio Albrecht (a director of GMS Holdings) and Yezan Munther Haddadin (an executive of GMS Holdings), 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 |
| October 31, 2017 Filed Nov 1, 2017 19:58 UTC | Outlook Therapeutics, Inc. ONS · Entity 608 | PurchaseSeries A Convertible Preferred Stock · Derivative | 217,372 | $100.00 | $21,737,200.00 |
DisclosureSEC source: 0000947871-17-000865 · ss65484_4.xml · derivative · entry 1 GMS Tenshi Holdings Pte. Ltd · CIK 0001716335 · Director · Chief Executive Officer · 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: 250,000 Underlying: Common Stock · 32,863,123 shares Expires not disclosed F1 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock ("Preferred Stock") is convertible into shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), at any time at the election of the holder. The Preferred Stock has no expiration date. F1 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock ("Preferred Stock") is convertible into shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), at any time at the election of the holder. The Preferred Stock has no expiration date. F1 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock ("Preferred Stock") is convertible into shares of the Issuer's common stock, par value $0.01 per share ("Common Stock"), at any time at the election of the holder. The Preferred Stock has no expiration date. F3 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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 4, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Tenshi 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"). F5 · ownership.direct: 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. GMS Tenshi has designated four representatives, currently Faisal G. Sukhtian (a director of both GMS Pharma and GMS Holdings), Joe Thomas (a director and executive of a company controlled by Kumar), Claudio Albrecht (a director of GMS Holdings) and Yezan Munther Haddadin (an executive of GMS Holdings), 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.