Statement of Changes in Beneficial Ownership (4)
June 27 2023 - 5:34PM
Edgar (US Regulatory)
FORM 4
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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
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OMB APPROVAL
OMB Number:
3235-0287
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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
*
HIGGINS JOHN L |
2. Issuer Name and Ticker or Trading Symbol
OmniAb, Inc.
[
OABI
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
5980 HORTON STREET, STE 600 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/23/2023 |
(Street)
EMERYVILLE, CA 94608 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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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(City)
(State)
(Zip)
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Rule 10b5-1(c) Transaction Indication
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to
satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 12/28/2022 | | F | | 25914 (1) | A | $3.66 | 2397255 (2) | D | |
Common Stock | 1/4/2023 | | F | | 57803 (1) | A | $3.23 | 2339452 (2) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
Restricted Stock Units | (3) | | | | | | | (3) | (3) | Common Stock | 39517 | | 39517 (2) | D | |
Restricted Stock Units | (4) | 6/23/2023 | | A | | 20000 | | (4) | (4) | Common Stock | 20000 | $0 | 59517 | D | |
Stock Option (right to buy) | $4.81 | 6/23/2023 | | A | | 40000 | | (5) | 6/23/2033 | Common Stock | 40000 | $0 | 40000 | D | |
Explanation of Responses: |
(1) | Represents shares withheld to satisfy tax withholding obligations upon the vesting of previously reported restricted stock units ("RSUs"). |
(2) | The Reporting Person previously reported certain awards of Restricted Stock Units (RSUs) in Table I of Form 4, but has elected to report the RSUs in Table II going
forward. As a result, the total reported in Column 5 of Table I has been updated to subtract 39,517 RSUs outstanding on June 23, 2023. |
(3) | Represents RSUs previously reported in Table I. Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. Vesting occurs in three
equal annual installments, beginning January 30, 2024. |
(4) | Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in full on the earlier of (A) the
date of the next annual meeting of the Company's stockholders following the grant date and (B) the first anniversary of the date of grant. |
(5) | Each Stock Option shall vest and become exercisable in full on the earlier of (A) the date of the annual meeting of the Company's stockholders next following the grant
date and (B) on the first anniversary of the date of grant. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
HIGGINS JOHN L 5980 HORTON STREET, STE 600 EMERYVILLE, CA 94608 | X |
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Signatures
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By: /s/ Charles S. Berkman For: John L. Higgins | | 6/27/2023 |
**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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