Sinclair Michael's Form 4 filing
Opiant Pharmaceuticals, Inc. (OPNT) · filed Aug 25, 2021
- Accession no.
- 0001385508-21-000119
- Filed
- Aug 25, 2021
- Trade date
- Aug 23-25, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 6 non-derivative transactions and 3 derivative transactions. Open-market sales total $2.36M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Sinclair MichaelCIK 0001551246 | Director, 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 23, 2021 | Common Stock, par value $0.001 per share | MOption exerciseAcquired | +65,124 | $5.00 | +$325,620 | 209,194 | Direct | |
| Aug 23, 2021 | Common Stock, par value $0.001 per share | SSaleDisposed | −65,124 | $16.50F1 | −$1,074,546 | 144,070 | Direct | |
| Aug 24, 2021 | Common Stock, par value $0.001 per share | MOption exerciseAcquired | +34,607 | $5.00 | +$173,035 | 178,677 | Direct | |
| Aug 24, 2021 | Common Stock, par value $0.001 per share | SSaleDisposed | −34,607 | $15.71F2 | −$543,675.97 | 144,070 | Direct | |
| Aug 25, 2021 | Common Stock, par value $0.001 per share | MOption exerciseAcquired | +50,269 | $5.00 | +$251,345 | 194,339 | Direct | |
| Aug 25, 2021 | Common Stock, par value $0.001 per share | SSaleDisposed | −50,269 | $14.69F3 | −$738,451.61 | 144,070 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 23, 2021 | Common Stock, par value $0.001 per share | MOption exerciseDisposed | −65,124 | $0.00 | $0 | 84,876 | Direct | |
| Aug 24, 2021 | Common Stock, par value $0.001 per share | MOption exerciseDisposed | −34,607 | $0.00 | $0 | 50,269 | Direct | |
| Aug 25, 2021 | Common Stock, par value $0.001 per share | MOption exerciseDisposed | −50,269 | $0.00 | $0 | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
This transaction was executed in multiple trades at prices ranging from $16.00 to $17.25. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F2
This transaction was executed in multiple trades at prices ranging from $15.50 to $16.62. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.
- F3
This transaction was executed in multiple trades at prices ranging from $13.80 to $15.48. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
Referenced by the price of 1 transaction in Table I.