Filing Details
- Accession Number:
- 0001209191-23-059268
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-12-19 19:44:30
- Reporting Period:
- 2022-10-09
- Accepted Time:
- 2023-12-19 19:44:30
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 822370 | Emmaus Life Sciences Inc. | EMMA | Pharmaceutical Preparations (2834) | 870419387 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1949484 | H. Seah Lim | 21250 Hawthorne Blvd. Suite 800 Torrance CA 90503 | 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, $0.001 Par Value | Acquisiton | 2022-10-09 | 25,400 | $0.11 | 63,900 | No | 4 | P | Direct | |
| Common Stock, $0.001 Par Value | Acquisiton | 2023-08-25 | 92,100 | $0.27 | 156,000 | No | 4 | P | Direct | |
| Common Stock, $0.001 Par Value | Acquisiton | 2023-08-30 | 20,000 | $0.15 | 176,000 | No | 4 | P | Direct | |
| Common Stock, $0.001 Par Value | Acquisiton | 2023-09-05 | 1,700 | $0.15 | 177,700 | No | 4 | P | Direct | |
| Common Stock, $0.001 Par Value | Disposition | 2023-12-15 | 6,000 | $0.11 | 171,700 | No | 4 | S | Direct | |
| Common Stock, $0.001 Par Value | Acquisiton | 2023-12-15 | 4,447,426 | $0.29 | 4,619,126 | No | 4 | J | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | P | Direct | |
| No | 4 | S | Direct | |
| No | 4 | J | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Promissory Note due 9/16/2025 | Disposition | 2023-12-15 | 240,000 | $0.00 | 240,000 | $0.29 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | J | Direct |
Footnotes
- The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.20 to $0.27, inclusive. The reporting person undertakes to provide to Emmaus Life Sciences, Inc., any security holder of Emmaus Life Sciences, Inc., and the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote (1).
- The shares shown were issued in exchange for principal and accrued interest under the promissory note of the Issuer held by the reporting person referred to in footnote (2), below, which promissory note was surrendered by the reporting person for cancellation.
- Promissory Note due 9/16/2025 surrendered for cancellation in exchange for shares of common stock referred to in footnote (1) above.
- Represent shares previously issuable upon maturity of the Promissory Note due 9/16/2025.
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