0001214659-18-000895.txt : 20180205 0001214659-18-000895.hdr.sgml : 20180205 20180205191444 ACCESSION NUMBER: 0001214659-18-000895 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180202 FILED AS OF DATE: 20180205 DATE AS OF CHANGE: 20180205 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Drake Neil CENTRAL INDEX KEY: 0001698005 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37897 FILM NUMBER: 18575773 MAIL ADDRESS: STREET 1: 12020 LEAST TERN COURT CITY: SAN DIEGO STATE: CA ZIP: 92129 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: OBALON THERAPEUTICS INC CENTRAL INDEX KEY: 0001427570 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5421 AVENIDA ENCINAS STREET 2: SUITE F CITY: San Diego STATE: CA ZIP: 92008 BUSINESS PHONE: 858-480-2400 MAIL ADDRESS: STREET 1: 5421 AVENIDA ENCINAS STREET 2: SUITE F CITY: San Diego STATE: CA ZIP: 92008 4 1 marketforms-40926.xml PRIMARY DOCUMENT X0306 4 2018-02-02 0001427570 OBALON THERAPEUTICS INC OBLN 0001698005 Drake Neil C/O OBALON THERAPEUTICS, INC. 5421 AVENIDA ENCINAS, STUIE F CARLSBAD CA 92008 false true false false VP Research and Development Common Stock 2018-02-02 4 M false 229 1.31 A 8153 D Common Stock 2018-02-02 4 M false 5746 1.83 A 13899 D Common Stock 2018-02-02 4 M false 3641 0.76 A 17540 D Common Stock 2018-02-02 4 M false 4310 1.77 A 21850 D Employee Stock Option (right to buy) 1.31 2018-02-02 4 M false 229 0 D 2014-10-08 2021-01-26 Common Stock 229 0 D Employee Stock Option (right to buy) 1.83 2018-02-02 4 M false 5746 0 D 2016-06-14 2022-08-14 Common Stock 5746 0 D Employee Stock Option (right to buy) 0.76 2018-02-02 4 M false 3641 0 D 2025-03-04 Common Stock 3641 1083 D Employee Stock Option (right to buy) 1.77 2018-02-02 4 M false 4310 0 D 2026-05-11 Common Stock 4310 6034 D This option vests as to 25% of the total shares on January 1, 2016, then 2.083% monthly, with 100% of the total shares vested on January 1, 2019, subject to the reporting person's provision of service to the Issuer on each vesting date. This option vests as to 2.083% of the total shares monthly, commencing on May 11, 2016, with 100% of the total shares vested on May 11, 2020, subject to the reporting person's provision of service to the Issuer on each vesting date. /s/ Nooshin Hussainy as attorney-in-fact for Neil Drake 2018-02-04