Filing Details

Accession Number:
0001214659-19-005088
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-08-08 14:27:05
Reporting Period:
2019-08-06
Accepted Time:
2019-08-08 14:27:05
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1427570 Obalon Therapeutics Inc OBLN Surgical & Medical Instruments & Apparatus (3841) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1685640 J. William Plovanic C/O Obalon Therapeutics, Inc.
5421 Avenida Encinas, Suite F
Carlsbad CA 92008
President & Cfo No No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2019-08-06 12,500 $4.00 41,806 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrants (Right to Buy) Acquisiton 2019-08-06 9,375 $0.00 9,375 $4.40
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
9,375 2019-08-06 2024-08-06 No 4 P Direct
Footnotes
  1. Reflects price paid to underwriters in Issuer's registered offering.
  2. Includes Restricted Shares that are subject to vesting.