SC 13G: Outlook Therapeutics, Inc.

AI Summary

SC 13G filing by Outlook Therapeutics, Inc..

Risk Assessment

Risk Level: low

FAQ

Filing Documents

• greatpoint-otlk040124.htm (SC 13G) — 115KB
• 0001172661-24-001744.txt ( ) — 117KB

(a)Name of Issuer

Item 1. (a)Name of Issuer Outlook Therapeutics, Inc.

(b)Address of Issuer’s Principal

Item 1. (b)Address of Issuer’s Principal Executive Offices 485 Route 1 South Building F, Suite 320 Iselin, New Jersey 08830

(a)Names of Persons Filing

Item 2. (a)Names of Persons Filing: Great Point Partners, LLC Dr. Jeffrey R. Jay, M.D. Mr. Ortav Yehudai The Reporting Persons have entered into a Joint Filing Agreement, dated April 8, 2024, a copy of which is filed with this SCHEDULE 13G as Exhibit A, pursuant to which the Reporting Persons have agreed to file this statement jointly in accordance with the provisions of Rule 13d-1(k)(1) under the Act.

(b)Address

Item 2. (b)Address of Principal Business Office: The address of the principal business office of each of the Reporting Persons is 165 Mason Street, 3rd Floor Greenwich, CT 06830

(c)Citizenship

Item 2. (c)Citizenship: Great Point Partners, LLC is a limited liability company organized under the laws of the State of Delaware. Dr. Jeffrey R. Jay, M.D. is a citizen of the United States. Mr. Ortav Yehudai is a citizen of the United States.

(d)Title of Class of Securities

Item 2. (d)Title of Class of Securities Common Stock (the “Common Stock”)

(e) CUSIP No

Item 2. (e) CUSIP No.: 69012T305 CUSIP No. 69012T305 SCHEDULE 13G Page 6 of 9 Pages

If

Item 3.If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: (a) ¨ Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); (b) ¨ Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); (c) ¨ Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); (d) ¨ Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); (e) o An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); (f) ¨ An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); (g) ¨ A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G); (h) ¨ A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) ¨ A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) ¨ A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J); (k) ¨ A group, in accordance with §240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J), please specify the type of institution: CUSIP No. 69012T305 SCHEDULE 13G Page 7 of 9 Pages Item 4.Ownership The information required by Items 4(a) - (c) is set forth in Rows (5) - (11) of the cover pages for the Reporting Persons and is incorporated herein by reference. The percentage set forth in Row (11) of the cover pages for the Reporting Persons are based on a total of 22,335,580 shares outstanding, as reported by the Issuer in its Form S-3 filed with the Securities and Exchange Commission (the "SEC") on March 28, 2024 and 751,324 shares of the Common Stock issuable upon exercise of warrants held by the reporting persons (subject to the Beneficial

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