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