Thomas Thomas T. 4
4 · OPIANT PHARMACEUTICALS, INC. · Filed Sep 16, 2021
Insider Transaction Report
Form 4
Thomas Thomas T.
Director
Transactions
- Exercise/Conversion
Common Stock
2021-09-14$10.00/sh+1,500$15,000→ 8,163 total - Sale
Common Stock
2021-09-14$19.06/sh−792$15,096→ 7,371 total - Exercise/Conversion
Stock Option (right to buy)
2021-09-14−25→ 6,834 totalExercise: $10.00Exp: 2021-11-03→ Common Stock (25 underlying) - Exercise/Conversion
Common Stock
2021-09-14$10.00/sh+1,500$15,000→ 8,871 total - Exercise/Conversion
Stock Option (right to buy)
2021-09-14−1,500→ 5,334 totalExercise: $10.00Exp: 2021-11-03→ Common Stock (1,500 underlying) - Exercise/Conversion
Common Stock
2021-09-14$10.00/sh+25$250→ 6,678 total - Sale
Common Stock
2021-09-14$19.70/sh−764$15,051→ 8,107 total - Sale
Common Stock
2021-09-14$18.95/sh−15$284→ 6,663 total - Exercise/Conversion
Stock Option (right to buy)
2021-09-14−1,500→ 3,834 totalExercise: $10.00Exp: 2021-11-03→ Common Stock (1,500 underlying)
Footnotes (6)
- [F1]The shares were sold pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.
- [F2]The shares were sold to cover the $10 exercise price of the vested stock options. The net shares of 10, after selling to cover the exercise price, will be held by the Reporting Person.
- [F3]The shares were sold to cover the $10 exercise price of the vested stock options. The net shares of 708, after selling to cover the exercise price, will be held by the Reporting Person.
- [F4]The shares were sold to cover the $10 exercise price of the vested stock options. The net shares of 736, after selling to cover the exercise price, will be held by the Reporting Person.
- [F5]The option was exercised pursuant to a Rule 10b5-1 trading plan entered into by the Reporting Person.
- [F6]On November 4, 2016, the reporting person was granted an option to purchase 35,000 shares of Common Stock. The options vest as follows: (i) 11,667 share upon the up listing of the Issuer to The NASDAQ Stock Market (which occurred on August 29, 2017); (ii) 11,667 shares upon the cumulative funding of the Issuer in excess of $5,000,000 by institutional investors, commencing May 5, 2016 (which performance criteria was met on December 13, 2016); and (iii) 11,666 shares upon the first submission of a New Drug Application ("NDA") to the FDA for one of Issuer's products by either the Issuer or an Issuer licensee.