0001104659-16-157889.txt : 20161117 0001104659-16-157889.hdr.sgml : 20161117 20161117211046 ACCESSION NUMBER: 0001104659-16-157889 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160915 FILED AS OF DATE: 20161117 DATE AS OF CHANGE: 20161117 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: EMMAUS LIFE SCIENCES, INC. CENTRAL INDEX KEY: 0001420031 STANDARD INDUSTRIAL CLASSIFICATION: BLANK CHECKS [6770] IRS NUMBER: 412254389 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 21250 HAWTHORNE BLVD. STREET 2: SUITE 800 CITY: TORRANCE STATE: CA ZIP: 90503 BUSINESS PHONE: 310-214-0065 MAIL ADDRESS: STREET 1: 21250 HAWTHORNE BLVD. STREET 2: SUITE 800 CITY: TORRANCE STATE: CA ZIP: 90503 FORMER COMPANY: FORMER CONFORMED NAME: EMMAUS HOLDINGS, INC. DATE OF NAME CHANGE: 20110504 FORMER COMPANY: FORMER CONFORMED NAME: AFH ACQUISITION IV, INC. DATE OF NAME CHANGE: 20071203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Niihara Yutaka CENTRAL INDEX KEY: 0001517691 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-53072 FILM NUMBER: 162006355 MAIL ADDRESS: STREET 1: 20725 S. WESTERN BLVD. STREET 2: SUITE 136 CITY: TORRANCE STATE: CA ZIP: 90501 4 1 a4.xml 4 X0306 4 2016-09-15 0 0001420031 EMMAUS LIFE SCIENCES, INC. NONE 0001517691 Niihara Yutaka 21250 HAWTHORNE BLVD. SUITE 800 TORRANCE CA 90503 1 0 1 0 Chairman and CEO Common Stock 2016-09-15 4 C 0 31327 3.50 A 11802408 I See footnote Common Stock 2016-11-14 4 P 0 10000 4.50 A 11812408 I See footnote Convertible Promissory Note dated 2015-09-29 3.50 2016-09-15 4 C 0 109644.50 3.50 A 2015-09-29 2017-09-28 Common Stock 0 0 D Includes 9,583,260 shares that are held jointly by Yutaka Niihara and his wife and Soomi Niihara. Also includes 44,229 shares of common stock for which Dr. Niihara is custodian and has sole voting and investment control over the shares. Also includes 55,556 shares owned by Hope International Hospice, Inc (Hope Hospice). Dr. Niihara is the Chief Executive Officer of Hope Hospice and, as such, has voting and investment power over such shares. Also includes 750,000 shares underlying stock options, 1,300,000 shares underlying warrants to purchase shares of common stock and 49,363 shares of common stock underlying outstanding convertible notes. Dr. Niihara disclaims beneficial ownership of the shares held by Hope Hospice and this report should not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 or for any other purpose. Includes 9,593,260 shares that are held jointly by Yutaka Niihara and his wife and Soomi Niihara. Also includes 44,229 shares of common stock for which Dr. Niihara is custodian and has sole voting and investment control over the shares. Also includes 55,556 shares owned by Hope International Hospice, Inc (Hope Hospice). Dr. Niihara is the Chief Executive Officer of Hope Hospice and, as such, has voting and investment power over such shares. Also includes 750,000 shares underlying stock options, 1,300,000 shares underlying warrants to purchase shares of common stock and 49,363 shares of common stock underlying outstanding convertible notes. Dr. Niihara disclaims beneficial ownership of the shares held by Hope Hospice and this report should not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 or for any other purpose. Yutaka Niihara 2016-11-17