Filing Details

Accession Number:
0001385508-21-000138
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-09-23 16:05:54
Reporting Period:
2021-09-21
Accepted Time:
2021-09-23 16:05:54
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1385508 Opiant Pharmaceuticals Inc. OPNT Pharmaceutical Preparations (2834) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1689819 T. Thomas Thomas C/O Opiant Pharmaceuticals, Inc.
233 Wilshire Blvd. Suite 280
Santa Monica CA 90401
Yes 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 2021-09-21 2,000 $10.00 10,107 No 4 M Direct
Common Stock Disposition 2021-09-21 60 $24.07 10,047 No 4 S Direct
Common Stock Disposition 2021-09-21 771 $24.12 9,276 No 4 S Direct
Common Stock Acquisiton 2021-09-22 1,834 $10.00 11,110 No 4 M Direct
Common Stock Disposition 2021-09-22 735 $25.02 10,375 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (right to buy) Disposition 2021-09-21 2,000 $0.00 2,000 $10.00
Common Stock Stock Option (right to buy) Disposition 2021-09-22 1,834 $0.00 1,834 $10.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
1,834 2021-11-03 No 4 M Direct
0 2021-11-03 No 4 M Direct
Footnotes
  1. The shares were sold pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.
  2. The shares were sold to cover the $10 exercise price of the vested stock options. The net shares of 25, after selling to cover the exercise price, will be held by the Reporting Person.
  3. The shares were sold to cover the $10 exercise price of the vested stock options. The net shares of 1,144, after selling to cover the exercise price, will be held by the Reporting Person.
  4. The shares were sold to cover the $10 exercise price of the vested stock options. The net shares of 1,099, after selling to cover the exercise price, will be held by the Reporting Person.
  5. This transaction was executed in multiple trades at prices ranging from $24.52 to $25.04. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
  6. The option was exercised pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.
  7. On November 4, 2016, the reporting person was granted an option to purchase 35,000 shares of Common Stock. The options vest as follows: (i) 11,667 share upon the up listing of the Issuer to The NASDAQ Stock Market (which occurred on August 29, 2017); (ii) 11,667 shares upon the cumulative funding of the Issuer in excess of $5,000,000 by institutional investors, commencing May 5, 2016 (which performance criteria was met on December 13, 2016); and (iii) 11,666 shares upon the first submission of a New Drug Application ("NDA") to the FDA for one of Issuer's products by either the Issuer or an Issuer licensee.