Statement of Changes in Beneficial Ownership (4)
December 06 2018 - 05:10PM
Edgar (US Regulatory)
FORM 4
[ ] Check this box if no longer subject to Section
16. Form 4 or Form 5 obligations may continue. See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL
OWNERSHIP OF SECURITIES
|
OMB
APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response... 0.5 |
|
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934 or Section 30(h) of the Investment
Company Act of 1940
|
|
1. Name
and Address of Reporting Person * BioLexis Pte Ltd. |
2. Issuer Name and Ticker or Trading
Symbol Outlook Therapeutics, Inc. [ OTLK ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable) __ X __
Director
__ X __ 10% Owner
_____ Officer (give title below)
_____ Other (specify
below)
|
(Last)
(First)
(Middle)
36 ROBINSON ROAD, #13-01 CITY HOUSE |
3. Date of Earliest Transaction (MM/DD/YYYY)
12/3/2018
|
(Street)
SINGAPORE, U0 068877
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line) ___
Form filed by One Reporting Person
_ X _ Form filed by More than One Reporting
Person |
Table I - Non-Derivative Securities Acquired, Disposed of, or
Beneficially Owned
|
1.Title of Security
(Instr. 3) |
2. Trans. Date |
2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following
Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4) |
7. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
12/3/2018 |
|
A |
|
4288624
|
A |
$0.9327 |
57193255 |
D (1) (2) |
|
Table II - Derivative Securities Beneficially Owned (
e.g. , puts, calls, warrants, options, convertible
securities)
|
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative
Security |
3. Trans. Date |
3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or
Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying
Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially
Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct
(D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr.
4) |
Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Explanation of
Responses: |
(1) |
These securities are held of
record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences
Private Limited ("Tenshi"), a private investment vehicle controlled
by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte.
Limited ("GMS Pharma"), a private investment company and
wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial
owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50%
of the outstanding voting shares. Kumar, a natural person, is the
holder of a controlling interest in Tenshi. Ghiath M. Sukhtian
("Ghiath Sukhtian"), a natural person, is the holder of a
controlling interest in GMS Holdings, which is the holder of a
controlling interest in GMS Pharma. |
(2) |
By virtue of the
relationships described above in Footnote 1, Kumar and Ghiath
Sukhtian may be deemed to have voting and investment power with
respect to the securities held by BioLexis noted above and as a
result may be deemed to beneficially own such securities for
purposes of Rule 13d-3 under the Securities Exchange Act of 1934,
as amended (the "Exchange Act"). The Reporting Persons disclaim
beneficial ownership of the securities reported herein for purposes
of Rule 16a-1(a) under the Exchange Act, except to the extent of
its or his pecuniary interest therein, if any. BioLexis has
designated four representatives to serve on the Issuer's board of
directors. This report shall not be deemed an admission that any of
the Reporting Persons are the beneficial owner of such securities
for the purpose of Section 16 of the Exchange Act, or for any other
purpose. |
Reporting
Owners
|
Reporting Owner Name / Address |
Relationships
|
Director |
10% Owner |
Officer |
Other |
BioLexis Pte Ltd.
36 ROBINSON ROAD
#13-01 CITY HOUSE
SINGAPORE, U0 068877 |
X |
X |
|
|
Pillai Arun Kumar
#30, 1ST MAIN
J.P. NAGAR 3RD PHASE
BANGALORE, K7 560078 |
X |
X |
|
|
Sukhtian Faisal Ghiath
7TH CIRCLE, ZAHRAN STREET
ZAHRAN PLAZA BLDG, 4TH FLOOR
AMMAN, M2 11844 |
X |
X |
|
|
Signatures
|
/s/ Faisal G. Sukhtian |
|
12/6/2018 |
** Signature of Reporting
Person |
Date |
/s/ Arun Kumar Pillai |
|
12/6/2018 |
** Signature of Reporting
Person |
Date |
/s/ Ghiath M. Sukhtian |
|
12/6/2018 |
** Signature of Reporting
Person |
Date |
Reminder: Report on a separate line for each class
of securities beneficially owned directly or
indirectly. |
* |
If the form is filed by more than one
reporting person, see Instruction 4(b)(v). |
** |
Intentional misstatements or omissions
of facts constitute Federal Criminal Violations. See 18
U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: |
File three copies of this Form, one of
which must be manually signed. If space is insufficient, see
Instruction 6 for procedure. |
Persons who respond to the collection of information
contained in this form are not required to respond unless the form
displays a currently valid OMB control number. |
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