Initial Statement of Beneficial Ownership (3)
January 03 2023 - 4:24PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
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
*
Brown William Michael |
2. Date of Event Requiring Statement (MM/DD/YYYY)
1/1/2023
|
3. Issuer Name and Ticker or Trading Symbol
ObsEva SA [OBSV]
|
(Last)
(First)
(Middle)
C/O OBSEVA SA, C/O CHEMIN DES AULX, 12, PLAN-LES-OUATES |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Financial Officer / |
(Street)
GENEVA, V8 1228
(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
|
Table I - Non-Derivative Securities Beneficially Owned
|
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) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
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 |
Employee Stock Option (right to buy) | (1) | 12/31/2031 | Common Stock | 450000 | $1.99 | D | |
Explanation of Responses: |
(1) | One-fourth (1/4th) of the shares underlying the option vested on January 1, 2023, and the remainder of the shares underlying the option will vest in 36 equal monthly installments thereafter, subject to the Reporting Person continuing to provide service through each such date. |
Remarks: Exhibit List - Exhibit 24 - Power of Attorney |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Brown William Michael C/O OBSEVA SA C/O CHEMIN DES AULX, 12, PLAN-LES-OUATES GENEVA, V8 1228 |
|
| Chief Financial Officer |
|
Signatures
|
/s/ Jason Minio - Attorney-in-Fact | | 1/3/2023 |
**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 5(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. |
ObsEva (NASDAQ:OBSV)
Historical Stock Chart
From Dec 2024 to Jan 2025
ObsEva (NASDAQ:OBSV)
Historical Stock Chart
From Jan 2024 to Jan 2025