0001209191-19-053184.txt : 20191015
0001209191-19-053184.hdr.sgml : 20191015
20191015170809
ACCESSION NUMBER: 0001209191-19-053184
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190918
FILED AS OF DATE: 20191015
DATE AS OF CHANGE: 20191015
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KENYON LAWRENCE A
CENTRAL INDEX KEY: 0001230484
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37759
FILM NUMBER: 191151530
MAIL ADDRESS:
STREET 1: C/O OUTLOOK THERAPEUTICS, INC.
STREET 2: 7 CLARKE DRIVE
CITY: CRANBURY
STATE: NJ
ZIP: 08512
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Outlook Therapeutics, Inc.
CENTRAL INDEX KEY: 0001649989
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 383982704
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0930
BUSINESS ADDRESS:
STREET 1: 7 CLARKE DRIVE
CITY: CRANBURY
STATE: NJ
ZIP: 08512
BUSINESS PHONE: 6096193990
MAIL ADDRESS:
STREET 1: 7 CLARKE DRIVE
CITY: CRANBURY
STATE: NJ
ZIP: 08512
FORMER COMPANY:
FORMER CONFORMED NAME: Oncobiologics, Inc.
DATE OF NAME CHANGE: 20150804
4/A
1
doc4a.xml
FORM 4/A SUBMISSION
X0306
4/A
2019-09-18
2019-09-23
0
0001649989
Outlook Therapeutics, Inc.
OTLK
0001230484
KENYON LAWRENCE A
C/O OUTLOOK THERAPEUTICS, INC.
7 CLARKE DRIVE
CRANBURY
NJ
08512
1
1
0
0
CEO, Pres, CFO, Treas & Secy
Common Stock
2019-09-18
4
S
0
1350
1.70
D
8926
D
Represents the number of shares required to be sold by the Reporting Person to cover the tax withholding obligation in connection with the settlement of vested restricted stock units ("RSUs"). This sale is mandated by the Issuer's election under its equity incentive plans to require the Reporting Person to fund this tax withholding obligation by completing a "sell to cover" transaction with a brokerage firm designated by the Issuer. This sale does not represent a discretionary trade by the Reporting Person.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.70 - $1.705, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.
This Form 4/A is being filed to correct the amount of securities beneficially owned following the reported transaction in column 5 as reported in the original Form 4 filed with the Securities and Exchange Commission on September 23, 2019 to reflect the 1-for-8 reverse stock split effected by the Issuer on March 15, 2019. Accordingly, the Reporting Person beneficially owned 8,926 shares of Common Stock following the reported transaction instead of the 80,863 previously reported shares (as adjusted for fractional shares).
/s/ Lawrence Kenyon
2019-10-15