Initial Statement of Beneficial Ownership (3)
September 11 2019 - 1:48PM
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
*
Osato Masaharu |
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 _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
TORRANCE, CA 90503
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 | 2215 | D | |
Common stock, $0.001 par value | 516152 | I | By Osato Medical Clinic, Inc. (1) |
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 | 1/14/2016 | 1/14/2026 | Common stock | 105014 | $4.4756 | D | |
Stock option | 5/10/2016 | 5/10/2026 | Common stock | 105104 | $4.7613 | D | |
Stock option | 2/27/2018 | 2/27/2028 | Common stock | 10501 | $10.8562 | D | |
Explanation of Responses: |
(1) | Osato Medical Clinic, Inc. is a California corporation of which Dr. Osato is the sole shareholder and sole director. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Osato Masaharu 21250 HAWTHORNE BLVD. SUITE 800 TORRANCE, CA 90503 | X |
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Signatures
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Masaharu Osato, M.D. | | 9/11/2019 |
**Signature of Reporting Person | Date |
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