Filing Details

Accession Number:
0000904454-19-000600
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-08-08 16:23:15
Reporting Period:
2019-08-06
Accepted Time:
2019-08-08 16:23:15
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1427570 Obalon Therapeutics Inc OBLN () DE
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1013425 I Jesse Treu C/o Domain Associates, Llc
202 Carnegie Center, Suite 104
Princeton NJ 08540
No No Yes No
1024000 C James Blair C/o Domain Associates, Llc
202 Carnegie Center, Suite 104
Princeton NJ 08540
No No Yes No
1196863 Nicole Vitullo C/o Domain Associates, Llc
202 Carnegie Center, Suite 104
Princeton NJ 08540
No No Yes No
1207786 H Brian Dovey C/o Domain Associates, Llc
202 Carnegie Center, Suite 104
Princeton NJ 08540
No No Yes No
1354718 K Brian Halak C/o Domain Associates, Llc
202 Carnegie Center, Suite 104
Princeton NJ 08540
No No Yes No
1374150 P L Vii Parters Domain C/o Domain Associates, Llc
202 Carnegie Center, Suite 104
Princeton NJ 08540
No No Yes 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 2019-08-06 250,000 $4.00 813,433 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 to Purchase Common Stock Acquisiton 2019-08-06 187,500 $4.00 187,500 $4.40
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
187,500 2019-08-06 2024-08-06 No 4 P Direct
Footnotes
  1. The reported securities were purchased as Units, each Unit consisting of one share of Common Stock and a Warrant to purchase 0.75 of one share of Common Stock, at a purchase price of $4.00 per Unit.
  2. The reported ownership reflects the one-for-ten reverse split of the Common Stock effected on July 24, 2019.
  3. The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VII, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
  4. As managing members of One Palmer Square Associates VII, LLC, which is also the sole general partner of DP VII Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own 4,957 shares of Common Stock held by DP VII Associates, L.P.