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U.S. Securities and Exchange Commission


EMMAUS LIFE SCIENCES, INC. (0001420031)
SIC: 6770 - Blank Checks
State location: CA | State of Inc.: DE | Fiscal Year End: 1231
formerly: AFH ACQUISITION IV, INC. (until 2011-04-29)
formerly: EMMAUS HOLDINGS, INC. (until 2011-09-06)
Business Address
21250 HAWTHORNE BLVD.
SUITE 800
TORRANCE CA 90503
310-214-0065
Mailing Address
21250 HAWTHORNE BLVD.
SUITE 800
TORRANCE CA 90503
Ownership Reports from: (Click on owner name to see other issuer holdings for the owner, or CIK for owner filings.)

Owner Filings Transaction Date Type of Owner
KPM Tech Co. Ltd. 0001687069 2016-09-29 10 percent owner
Niihara Yutaka 0001517691 2016-09-15 director, 10 percent owner, Chairman and CEO
Tran Lan T. 0001517719 2016-05-10 officer: Chief Administrative Officer
LEE WILLIS C 0001517775 2016-05-10 director, officer: Vice Chairman & COO
NAGASAKI YASUSHI 0001517916 2016-05-10 officer: Senior VP, Finance
Ludlum Peter 0001546810 2016-05-10 officer: Chief Business Officer
Zwicker Ian Harvey 0001642012 2016-05-10 director
Osato Masaharu 0001642895 2016-05-10 director
Kuwahara Jon 0001664784 2016-05-10 director
Lee Sangho Steve 0001642083 2016-04-29 officer: Interim-CFO
Sris Mayu 0001588777 2014-07-17 director
SATOW PHILLIP M 0001224338 2014-05-08 director
KURISU DUANE K 0001229596 2014-05-08 director
Miyashita Akiko Moni 0001607742 2014-05-08 director
DEWALD MAURICE J 0001128799 2014-02-26 director
MCKINNELL HENRY A 0001174453 2014-02-26 director
Doi Tracey 0001527766 2014-02-26 director
OSBORNE ALFRED E JR 0001213324 2012-02-29 director
Heshmatpour Amir F 0001396631 2012-01-09 director, 10 percent owner
Griffin Ventures Ltd. 0001518995 2012-01-09 director, 10 percent owner
WARNECKE STEVE B 0001225408 2011-05-03 director
AFH Holding & Advisory, LLC 0001414636 2011-05-03 director, 10 percent owner
WILMORE DOUGLAS 0001517917 2011-05-03 director
Niihara Soomi 0001520187 2011-05-03 10 percent owner
BRASEL TIMOTHY 0001007804 2011-02-09 director, officer: Vice President


Items 1 - 80

The information presented below contains only portions of the information presented in the referenced filing or filings.
You should consult the original filing for complete information. Hyperlinks to the forms are provided for your convenience.

Acquistion or Disposition Transaction Date Deemed Execution Date Reporting Owner Form Transaction Type Direct or Indirect Ownership Number of Securities Transacted Number of Securities Owned Line Number Owner CIK Security Name
A 2016-11-14   Niihara Yutaka 4 P-Purchase --I 10000.0000 11812408.0000 2 0001517691 Common Stock
A 2016-09-15   Niihara Yutaka 4 C-Conversion --D $0.0000 3 0001517691 Convertible Promissory Note dated 2015-09-29
A 2016-09-15   Niihara Yutaka 4 C-Conversion --I 31327.0000 11802408.0000 1 0001517691 Common Stock
A 2016-05-10   Niihara Yutaka 4 A-Award --D 300000.0000 300000.0000 7 0001517691 Options
A 2016-05-10   Niihara Yutaka 4 A-Award --D 1300000.0000 0.0000 6 0001517691 Warrants (right to buy)
A 2016-05-10   Osato Masaharu 4 A-Award --D 100000.0000 100000.0000 1 0001642895 Options
A 2016-05-10   Zwicker Ian Harvey 4 A-Award --D 100000.0000 100000.0000 1 0001642012 Options
A 2016-05-10   Kuwahara Jon 4 A-Award --D 100000.0000 100000.0000 1 0001664784 Options
A 2016-05-10   Ludlum Peter 4 A-Award --D 300000.0000 300000.0000 1 0001546810 Incentive Stock Options
A 2016-05-10   LEE WILLIS C 4 A-Award --D 300000.0000 300000.0000 1 0001517775 Incentive Stock Options
A 2016-05-10   NAGASAKI YASUSHI 4 A-Award --D 300000.0000 300000.0000 1 0001517916 Incentive Stock Options
A 2016-05-10   Tran Lan T. 4 A-Award --D 300000.0000 300000.0000 1 0001517719 Incentive Stock Options
A 2016-03-18   Niihara Yutaka 4 M-Exempt --D 22222.0000 22222.0000 2 0001517691 Common Stock
A 2016-01-14   Kuwahara Jon 4/A A-Award --D 100000.0000 100000.0000 1 0001664784 Non-Qualified Stock Options
A 2016-01-14   Zwicker Ian Harvey 4/A A-Award --D 100000.0000 100000.0000 1 0001642012 Non-Qualified Stock Options
A 2016-01-14   Osato Masaharu 4/A A-Award --D 100000.0000 100000.0000 1 0001642895 Non-Qualified Stock Options
A 2016-01-14   Zwicker Ian Harvey 4 A-Award --D 100000.0000 100000.0000 1 0001642012 Non-Qualified Stock Options
A 2016-01-14   Osato Masaharu 4 A-Award --D 100000.0000 100000.0000 1 0001642895 Non-Qualified Stock Options
A 2016-01-14   Kuwahara Jon 4 A-Award --D 100000.0000 100000.0000 1 0001664784 Non-Qualified Stock Options
A 2015-11-16   Niihara Yutaka 4 A-Award --D 44444.0000 5 0001517691 Convertible Promissory Note
A 2015-09-29   Niihara Yutaka 4 A-Award --D 22222.0000 4 0001517691 Convertible Promissory Note
D 2015-02-10   Tran Lan T. 4 M-Exempt --D 2000.0000 0.0000 2 0001517719 Warrants
A 2015-02-10   Tran Lan T. 4 M-Exempt --D 2000.0000 25294.0000 1 0001517719 Common Stock
D 2015-01-07   Niihara Yutaka 4 M-Exempt --I 55556.0000 0.0000 3 0001517691 Warrants (right to buy)
A 2015-01-07   Niihara Yutaka 4 M-Exempt --I 55556.0000 55556.0000 1 0001517691 Common Stock
D 2014-10-02   LEE WILLIS C 4 D-Return --D $0.0000 5 0001517775 Convertible Promissory Note
D 2014-10-02   LEE WILLIS C 4 M-Exempt --D $35556.0000 4 0001517775 Convertible Promissory Note
D 2014-10-02   LEE WILLIS C 4 M-Exempt --D 35556.0000 0.0000 3 0001517775 Common Stock Warrant
A 2014-10-02   LEE WILLIS C 4 M-Exempt --D 36588.0000 249057.0000 2 0001517775 Common Stock
A 2014-10-02   LEE WILLIS C 4 M-Exempt --D 35556.0000 212469.0000 1 0001517775 Common Stock
A 2014-07-17   Sris Mayu 4 A-Award --D 100000.0000 100000.0000 1 0001588777 Non-Qualified Stock Options
A 2014-05-08   Miyashita Akiko Moni 4 A-Award --D 102000.0000 102000.0000 1 0001607742 Non-Qualified Stock Options
A 2014-05-08   SATOW PHILLIP M 4 A-Award --D 100000.0000 100000.0000 1 0001224338 Non-Qualified Stock Options
A 2014-05-08   KURISU DUANE K 4 A-Award --D 100000.0000 100000.0000 1 0001229596 Non-Qualified Stock Options
A 2014-02-26   MCKINNELL HENRY A 4 A-Award --D 60000.0000 60000.0000 1 0001174453 Non-Qualified Stock options
A 2014-02-26   DEWALD MAURICE J 4 A-Award --D 52000.0000 52000.0000 1 0001128799 Non-Qualified Stock options
A 2014-02-26   Doi Tracey 4 A-Award --D 52000.0000 52000.0000 1 0001527766 Non-Qualified Stock options
A 2013-11-12   LEE WILLIS C 4 A-Award --D $152066.0000 2 0001517775 Convertible Promissory Note
D 2013-11-08   LEE WILLIS C 4 J-Other --D 0.0000 1 0001517775 Convertible Promissory Note
A 2013-09-11   DEWALD MAURICE J 4 P-Purchase --D 4000.0000 4000.0000 2 0001128799 Warrant (right to buy)
A 2013-09-11   DEWALD MAURICE J 4 P-Purchase --D 4000.0000 14000.0000 1 0001128799 Common Stock
A 2013-09-11   Doi Tracey 4 P-Purchase --D 8000.0000 8000.0000 2 0001527766 Warrant (right to buy)
A 2013-09-11   Doi Tracey 4 P-Purchase --D 8000.0000 18000.0000 1 0001527766 Common Stock
D 2013-05-31   Niihara Yutaka 4 S-Sale --D 450000.0000 9549711.0000 2 0001517691 Common Stock
A 2013-05-31   Niihara Yutaka 4 A-Award --D 470000.0000 9999711.0000 1 0001517691 Common Stock
A 2013-02-28   Niihara Yutaka 4 A-Award --D 500000.0000 500000.0000 2 0001517691 Incentive Stock Options
A 2013-02-28   NAGASAKI YASUSHI 4 A-Award --D $50000.0000 2 0001517916 Incentive Stock Options
A 2013-02-28   MCKINNELL HENRY A 4 A-Award --D 250000.0000 250000.0000 2 0001174453 Options (right to buy)
A 2013-02-28   MCKINNELL HENRY A 4 A-Award --D 10000.0000 $10000.0000 1 0001174453 Common Stock
A 2013-02-28   Ludlum Peter 4 A-Award --D 500000.0000 500000.0000 2 0001546810 Incentive Stock Options
A 2013-02-28   Doi Tracey 4 A-Award --D 250000.0000 250000.0000 2 0001527766 Options (right to buy)
A 2013-02-28   Doi Tracey 4 A-Award --D 10000.0000 10000.0000 1 0001527766 Common Stock
A 2013-02-28   LEE WILLIS C 4 A-Award --D 500000.0000 500000.0000 2 0001517775 Incentive Stock Options
A 2013-02-28   DEWALD MAURICE J 4 A-Award --D 250000.0000 250000.0000 2 0001128799 Options (right to buy)
A 2013-02-28   DEWALD MAURICE J 4 A-Award --D 10000.0000 10000.0000 1 0001128799 Common Stock
A 2013-02-28   Tran Lan T. 4 A-Award --D 500000.0000 500000.0000 1 0001517719 Incentive Stock Options
A 2013-01-28   Ludlum Peter 4 P-Purchase --D 3000.0000 3000.0000 1 0001546810 Common Stock
A 2012-10-05   LEE WILLIS C 4 J-Other --D 38400.0000 1 0001517775 Convertible Promissory Note
A 2012-08-29   Niihara Yutaka 4 A-Award --D 1000000.0000 1000000.0000 1 0001517691 Warrants
A 2012-06-29   NAGASAKI YASUSHI 4 J-Other --D 388800.0000 117818.0000 1 0001517916 Cnovertible Promissory Note
A 2012-04-02   Doi Tracey 4 A-Award --D 75000.0000 75000.0000 1 0001527766 Non-Qualified Stock Options
A 2012-04-02   DEWALD MAURICE J 4 A-Award --D 75000.0000 75000.0000 1 0001128799 Non-Qualified Stock Options
A 2012-04-02   LEE WILLIS C 4 A-Award --D 250000.0000 250000.0000 1 0001517775 Incentive Stock Options
A 2012-04-02   Tran Lan T. 4 A-Award --D 250000.0000 250000.0000 1 0001517719 Incentive Stock Options
A 2012-04-02   NAGASAKI YASUSHI 4 A-Award --D 250000.0000 250000.0000 1 0001517916 Incentive Stock Options
A 2012-04-02   Niihara Yutaka 4 A-Award --D 250000.0000 250000.0000 1 0001517691 Incentive Stock Options
A 2012-02-29   MCKINNELL HENRY A 4 A-Award --D 1000000.0000 1000000.0000 1 0001174453 Warrant (right to buy)
A 2012-02-29   OSBORNE ALFRED E JR 4 A-Award --D 500000.0000 500000.0000 1 0001213324 Warrant (right to buy)
A 2012-02-10   Doi Tracey 4 J-Other --D 30000.0000 30000.0000 2 0001527766 Warrant
A 2012-02-10   Doi Tracey 4 J-Other --D 30000.0000 1 0001527766 Convertible Promissory Note
A 2012-02-10   Tran Lan T. 4 J-Other --D 56945.0000 56945.0000 1 0001517719 Warrant
D 2012-01-09   Heshmatpour Amir F 4/A S-Sale --I 16800.0000 131999.0000 1 0001396631 Common Stock, $.001 par value
D 2012-01-09 2012-01-09 Heshmatpour Amir F 4 S-Sale --I 16800.0000 131999.0000 1 0001396631 Common Stock, $.001 par value
D 2011-12-19   Heshmatpour Amir F 4/A G-Gift --I 202250.0000 2170000.0000 2 0001396631 Common Stock, $.001 par value
A 2011-12-19   Doi Tracey 4 A-Award --D 10000.0000 10000.0000 1 0001527766 Non-Qualified Stock Options
A 2011-12-19   MCKINNELL HENRY A 4 A-Award --D 27000.0000 27000.0000 1 0001174453 Non-Qualified Stock Options
A 2011-12-19   OSBORNE ALFRED E JR 4 A-Award --D 12000.0000 12000.0000 1 0001213324 Non-Qualified Stock Options
A 2011-12-19   DEWALD MAURICE J 4 A-Award --D 12000.0000 12000.0000 1 0001128799 Non-Qualified Stock Options
D 2011-11-21   Heshmatpour Amir F 4 S-Sale --D 11200.0000 148799.0000 4 0001396631 Common Stock
D 2011-11-21   Heshmatpour Amir F 4 S-Sale --I 11200.0000 2521049.0000 3 0001396631 Common Stock

http://www.sec.gov/cgi-bin/own-disp


Modified: 04/22/2016