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OmniAb, Inc. (OABI) CLO RSU vesting and tax sell-to-cover stock sale details

Filing Impact
(Neutral)
Filing Sentiment
(Negative)
Form Type
4

Rhea-AI Filing Summary

OmniAb, Inc.'s Chief Legal Officer acquired 15,621 shares of common stock on December 7, 2025 through the vesting of restricted stock units. On December 8, 2025, 8,044 shares were sold at a weighted average price of $1.96 per share to cover tax withholding obligations in connection with that vesting under a required sell-to-cover arrangement that is not a discretionary trade.

After these transactions, the officer directly owns 377,071 shares of OmniAb common stock and holds 96,876 restricted stock units, each representing a contingent right to receive one share.

Positive

  • None.

Negative

  • None.
Insider Berkman Charles S
Role Chief Legal Officer
Sold 8,044 shs ($16K)
Type Security Shares Price Value
Sale Common Stock 8,044 $1.96 $16K
Exercise Restricted Stock Units 15,621 $0.00 --
Exercise Common Stock 15,621 $0.00 --
Holdings After Transaction: Common Stock — 377,071 shares (Direct); Restricted Stock Units — 96,876 shares (Direct)
Footnotes (1)
  1. Represents the vesting of an RSU grant which occurs in three substantially equal annual installments beginning on December 7, 2023. Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. The total includes 6,282 shares acquired on May 30, 2025 and November 28, 2025, through the Issuer's Employee Stock Purchase Plan (ESPP). Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of RSUs. These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of a tax withholding obligation to be funded by a "sell-to-cover" transaction and do not represent discretionary trades by the reporting person. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.94 to $2.01. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Berkman Charles S
(Last) (First) (Middle)
5980 HORTON STREET, STE 600
(Street)
EMERYVILLE CA 94608
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
OmniAb, Inc. [ OABI ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Legal Officer
3. Date of Earliest Transaction (Month/Day/Year)
12/07/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 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 Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction 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 12/07/2025 M 15,621(1) A $0(2) 385,115(3) D
Common Stock 12/08/2025 S 8,044(4) D $1.96(5) 377,071 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction 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 (Month/Day/Year) 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: 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 $0(2) 12/07/2025 M 15,621 (1) (1) Common Stock 15,621 $0 96,876 D
Explanation of Responses:
1. Represents the vesting of an RSU grant which occurs in three substantially equal annual installments beginning on December 7, 2023.
2. Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.
3. The total includes 6,282 shares acquired on May 30, 2025 and November 28, 2025, through the Issuer's Employee Stock Purchase Plan (ESPP).
4. Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of RSUs. These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of a tax withholding obligation to be funded by a "sell-to-cover" transaction and do not represent discretionary trades by the reporting person.
5. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.94 to $2.01. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
Remarks:
/s/ Charles S. Berkman 12/09/2025
** 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 Number.

Source: View Original Filing on SEC EDGAR

FAQ

What is the vesting schedule for the OmniAb (OABI) restricted stock units?

The RSU grant referenced vests in three substantially equal annual installments, beginning on December 7, 2023.