0001214659-18-003244.txt : 20180502 0001214659-18-003244.hdr.sgml : 20180502 20180502072319 ACCESSION NUMBER: 0001214659-18-003244 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180430 FILED AS OF DATE: 20180502 DATE AS OF CHANGE: 20180502 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: 18797502 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-41862.xml PRIMARY DOCUMENT X0306 4 2018-04-30 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 2018-04-30 4 A false 2743 3.27 A 29593 D These shares were acquired under the Obalon Therapeutics, Inc. 2016 Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c). /s/ Nooshin Hussainy as attorney-in-fact for Neil Drake 2018-05-02