Initial Statement of Beneficial Ownership (3)
03 Juni 2020 - 10:03PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Gorman Brian |
2. Date of Event Requiring Statement (MM/DD/YYYY)
6/2/2020
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3. Issuer Name and Ticker or Trading Symbol
OPIANT PHARMACEUTICALS, INC. [OPNT]
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(Last)
(First)
(Middle)
233 WILSHIRE BLVD, SUITE 280 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner _____ Officer (give title below) ___X___ Other (specify below) / General Counsel |
(Street)
SANTA MONICA, CA 90401
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 13500 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (right to buy) | 6/1/2021 | 6/1/2030 | Stock Option (right to buy) | 36500.0 (2) | $11.3 | D | |
Explanation of Responses: |
(1) | 13,500 shares are represented by restricted stock units ("RSUs"). Each RSU represents the Reporting Person's right to receive one share of Common Stock of Issuer, subject to the vesting schedule. One-fourth of the RSUs vest on the anniversary dates of June 1, 2021, June 1, 2022, June 1, 2023 and June 1, 2024, subject to the Reporting Person continuing as a service provider through each such date. |
(2) | One-fourth of the shares subject to the option vest on June 1, 2021 and one forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Gorman Brian 233 WILSHIRE BLVD SUITE 280 SANTA MONICA, CA 90401 |
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| General Counsel |
Signatures
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/s/ Brian Gorman | | 6/3/2020 |
**Signature of Reporting Person | Date |
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