Amended Statement of Beneficial Ownership (3/a)
September 09 2019 - 1:36PM
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
*
Niihara Yutaka |
2. Date of Event Requiring Statement (MM/DD/YYYY)
7/17/2019
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3. Issuer Name and Ticker or Trading Symbol
Emmaus Life Sciences, Inc. [EMMA]
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(Last)
(First)
(Middle)
21250 HAWTHORNE BLVD., SUITE 800 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director ___X___ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chairman and CEO / |
(Street)
TORRANCE, CA 90503
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY) 7/29/2019
| 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, $0.001 par value | 10163793 | D (1) | |
Common stock, $0.001 par value | 10501 | I | By Soomi Niihara |
Common stock, $0.001 par value | 92794 | I | By Hope International Hospice, Inc. (2) |
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 | 4/2/2012 | 4/2/2022 | Common stock | 262536 | $3.4281 | D | |
Stock option | 2/28/2013 | 2/28/2023 | Common stock | 525072 | $3.4281 | D | |
Stock option | 5/10/2016 | 5/10/2026 | Common stock | 315043 | $4.7613 | D | |
Common stock purchase warrant | 9/30/2016 | 5/9/2021 | Common stock | 1365189 | $4.7612 | D | |
Explanation of Responses: |
(1) | Includes shares owned jointly with Soomi Niihara, Dr. Niihara's wife. |
(2) | Hope International Hospice, Inc, is a California corporation of which Dr. Niihara and his wife are the sole shareholders and directors. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Niihara Yutaka 21250 HAWTHORNE BLVD. SUITE 800 TORRANCE, CA 90503 | X | X | Chairman and CEO |
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Signatures
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Yutaka Niihara, M.D., M.P.H. | | 9/9/2019 |
**Signature of Reporting Person | Date |
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