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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Obalon Therapeutics Inc | NASDAQ:OBLN | NASDAQ | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 3.05 | 2.81 | 2.87 | 0 | 01:00:00 |
Delaware
(State or Other Jurisdiction
of Incorporation or Organization)
|
26-1828101
(I.R.S. Employer Identification No.)
|
|
|
|
|
|
Large accelerated filer
¨
|
|
Accelerated filer
¨
|
|
|
|
Non-accelerated filer
x
|
|
Smaller reporting company
x
|
|
|
Emerging growth company
x
|
Title of Securities
to be Registered
|
Amount
to be
Registered (1)
|
Proposed Maximum
Offering Price
per Share (2)
|
Proposed Maximum
Aggregate
Offering Price (2)
|
Amount of
Registration
Fee
|
Common Stock, $0.001 par value per share
|
|
|
|
|
--- Obalon Therapeutics, Inc. 2016 Equity Incentive Plan
|
1,075,902 (3)
|
$0.60
|
$645,541.20
|
$78.24
|
--- Obalon Therapeutics, Inc. 2016 Employee Stock Purchase Plan
|
268,975 (4)
|
$0.60
|
$161,385.00
|
$19.56
|
Total
|
1,344,877
|
—
|
$806,926.20
|
$97.80
|
a)
|
the Registrant’s Annual Report on Form 10-K for the year ended December 31, 2018, filed with the Commission on February 22, 2019, as amended on April 30, 2019;
|
b)
|
the Registrant’s Definitive Proxy Statement on Schedule 14A, filed with the Commission on June 13, 2019;
|
c)
|
the Registrant’s Quarterly Report on Form 10-Q for the three months ended March 31, 2019, filed with the Commission on May 10, 2019;
|
d)
|
the Registrant’s Current Reports on Form 8-K, filed with the Commission on January 3, 2019 (Items 8.01 and 9.01 only), January 25, 2019, February 19, 2019, April 3, 2019 (Items 2.05 and 8.01 only), May 17, 2019, May 22, 2019, May 28, 2019 (Items 1.01 and the related exhibits included under 9.01 only), May 30, 2019, May 31, 2019, June 10, 2019, June 24, 2019, June 28, 2019 and July 12, 2019; and
|
e)
|
the Registrant’s Current Report on Form 8-K/A, filed with the Commission on May 30, 2019; and
|
f)
|
the description of the Registrant’s common stock in our registration statement on Form 8-A filed with the Commission on September 27, 2016 and any amendment or report filed with the Commission for the purpose of updating such description.
|
|
|
|
|
Incorporated by Reference
|
|
|
|||||
Exhibit
Number
|
|
Description
|
|
Form
|
|
Exhibit
|
|
Date Filed
|
File Number
|
|
Filed
Herewith
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
4.1
|
|
|
S-1/A
|
|
3.2
|
|
9/26/16
|
333-213551
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
4.2
|
|
|
8-K
|
|
3.3
|
|
6/14/18
|
001-37897
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
4.3
|
|
|
S-1/A
|
|
3.4
|
|
9/26/16
|
333-213551
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
4.4
|
|
|
S-1
|
|
4.1
|
|
9/9/16
|
333-213551
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
5.1
|
|
|
|
|
|
|
|
|
|
X
|
|
|
|
|
|
|
|
|
|
|
|
|
|
23.1
|
|
|
|
|
|
|
|
|
|
X
|
|
|
|
|
|
|
|
|
|
|
|
|
|
23.2
|
|
|
|
|
|
|
|
|
|
X
|
|
|
|
|
|
|
|
|
|
|
|
|
|
24.1
|
|
|
|
|
|
|
|
|
|
X
|
|
|
|
|
|
|
|
|
|
|
|
|
|
99.1
|
|
|
S-1/A
|
|
10.3
|
|
9/26/16
|
333-213551
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
99.2
|
|
|
10-K
|
|
10.4
|
|
2/22/19
|
001-37897
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
99.3
|
|
|
S-1/A
|
|
10.4
|
|
9/26/16
|
333-213551
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
99.4
|
|
|
8-K
|
|
10.1
|
|
5/4/18
|
001-37897
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
99.5
|
|
|
10-K
|
|
10.8
|
|
2/23/17
|
001-37897
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
99.6
|
|
|
10-K
|
|
10.28
|
|
2/22/19
|
001-37897
|
|
|
OBALON THERAPEUTICS, INC.
|
|
|
|
By:
|
/s/ William Plovanic
|
Name:
|
William Plovanic
|
Title:
|
President and Chief Financial Officer
|
Signature
|
Title
|
|
Date
|
|
|
|
|
/s/ William Plovanic
|
President, Chief Financial Officer and Director
(Principal Executive & Financial Officer)
|
|
July 22, 2019
|
William Plovanic
|
|
|
|
|
|
|
|
/s/ Nooshin Hussainy
|
Vice President of Finance
(Principal Accounting Officer)
|
|
July 22, 2019
|
Nooshin Hussainy
|
|
|
|
|
|
|
|
/s/ Andrew Rasdal
|
Executive Chairman of the Board
|
|
July 22, 2019
|
Andrew Rasdal
|
|
|
|
|
|
|
|
/s/ Kim Kamdar, Ph.D.
|
Director
|
|
July 22, 2019
|
Kim Kamdar, Ph.D.
|
|
|
|
|
|
|
|
/s/ Ray Dittamore
|
Director
|
|
July 22, 2019
|
Ray Dittamore
|
|
|
|
|
|
|
|
/s/ Douglas Fisher, M.D.
|
Director
|
|
July 22, 2019
|
Douglas Fisher, M.D.
|
|
|
|
|
|
|
|
/s/ Les Howe
|
Director
|
|
July 22, 2019
|
Les Howe
|
|
|
|
|
|
|
|
/s/ David Moatazedi
|
Director
|
|
July 22, 2019
|
David Moatazedi
|
|
|
|
|
|
|
|
/s/ Sharon Stevenson, DVM Ph.D.
|
Director
|
|
July 22, 2019
|
Sharon Stevenson, DVM Ph.D.
|
|
|
|
|
|
|
|
1 Year Obalon Therapeutics Chart |
1 Month Obalon Therapeutics Chart |
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