0001209191-20-053870.txt : 20201005 0001209191-20-053870.hdr.sgml : 20201005 20201005184444 ACCESSION NUMBER: 0001209191-20-053870 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201001 FILED AS OF DATE: 20201005 DATE AS OF CHANGE: 20201005 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: THURMAN RANDY H CENTRAL INDEX KEY: 0001204059 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37759 FILM NUMBER: 201224983 MAIL ADDRESS: STREET 1: 222 MERCHANDISE MART PLAZA STREET 2: SUITE 2024 CITY: CHICAGO STATE: IL ZIP: 60654 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Outlook Therapeutics, Inc. CENTRAL INDEX KEY: 0001649989 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 383982704 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 4260 U.S. ROUTE 1 CITY: MONMOUTH JUNCTION STATE: NJ ZIP: 08852 BUSINESS PHONE: 6096193990 MAIL ADDRESS: STREET 1: 4260 U.S. ROUTE 1 CITY: MONMOUTH JUNCTION STATE: NJ ZIP: 08852 FORMER COMPANY: FORMER CONFORMED NAME: Oncobiologics, Inc. DATE OF NAME CHANGE: 20150804 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-10-01 0 0001649989 Outlook Therapeutics, Inc. OTLK 0001204059 THURMAN RANDY H C/O OUTLOOK THERAPEUTICS, INC. 4260 US ROUTE 1 MONMOUTH JUNCTION NJ 08852 1 0 0 0 Stock Option (Right to Buy) 0.71 2020-10-01 4 A 0 259297 0.00 A 2030-10-01 Common Stock 259297 259297 D Stock Option (Right to Buy) 0.7052 2020-10-05 4 A 0 396809 0.5141 A 2030-10-05 Common Stock 396809 396809 D The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall vest in full on October 1, 2021, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer through such event. The options were granted under the 2015 Plan in lieu of $204,000 cash fees payable under the Issuer's non-employee Director compensation program and vest in four equal quarterly installments on the last day of each fiscal quarter such that they are vested in full on September 30, 2021, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan. /s/ Lawrence Kenyon, Attorney-in-Fact 2020-10-05