OABI Form 4: Carolyn Bertozzi Ups Stake, Granted Options & RSUs

Rhea-AI Filing Summary

Form 4 filing for OmniAb, Inc. (OABI) dated 18-Jun-2025 discloses equity transactions by director Carolyn R. Bertozzi on 17-Jun-2025.

• Common stock: 20,000 shares were acquired upon vesting of previously granted restricted stock units (RSUs). Post-transaction direct ownership stands at 75,539 shares.
• New equity grants: (i) 20,000 RSUs, each convertible into one common share, and (ii) a stock option for 40,000 shares with a $1.70 exercise price and 17-Jun-2035 expiration. All new awards vest in full on the earlier of the next annual shareholder meeting or the first anniversary of the 17-Jun-2025 grant date.
• No dispositions of shares occurred; all reported transactions increase or maintain the insider’s exposure to OmniAb’s equity.

These routine director equity awards and vesting events align incentives with shareholders and do not, by themselves, alter OmniAb’s fundamentals. The filing satisfies Section 16 reporting obligations and contains no indications of sales, pledges, or derivative hedging.

Positive

• Insider ownership increased by 20,000 shares through RSU vesting, indicating continued alignment with shareholder interests.
• No insider sales were reported, removing an overhang concern and presenting a benign to positive governance signal.

Negative

• None.

Insights

Securities Analyst

TL;DR: Director added 20k shares and received 60k new equity awards; no sales, neutral-to-positive governance signal.

The Form 4 shows standard annual equity compensation for Director Carolyn R. Bertozzi. She assumed direct ownership of 20,000 vested RSUs, bringing her stake to 75,539 shares. Concurrently, she received an additional 20,000 RSUs and a 10-year option for 40,000 shares at $1.70. Because the option strike is fixed and vesting occurs within a year, the new awards represent potential upside without immediate cash outlay. No shares were sold, eliminating any negative liquidity signal. While insider acquisition is generally viewed favorably, the dollar magnitude appears routine for a small-cap biotech, so overall market impact should be modest.

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
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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^*

Bertozzi Carolyn R

(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)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
06/17/2025

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	06/17/2025		M		20,000(1)	A	(2)	75,539	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	(2)	06/17/2025		M			20,000	(1)	(1)	Common Stock	20,000	$0	17,769	D
Restricted Stock Units	(2)	06/17/2025		A		20,000		(3)	(3)	Common Stock	20,000	$0	37,769	D
Stock Option (right to buy)	$1.7	06/17/2025		A		40,000		(4)	06/17/2035	Common Stock	40,000	$0	40,000	D

Explanation of Responses:

1. Represents the vesting of an RSU granted on June 18, 2024, which occurs 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 grant date.

2. Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

3. 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 grant date.

4. Each Stock Option shall vest and become exercisable 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.

Remarks:

	By: /s/ Charles S. Berkman, Attorney-in-Fact For: Carolyn R Bertozzi	06/18/2025
	** 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.
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FAQ

What did OmniAb (OABI) disclose in the 18-Jun-2025 Form 4?

Director Carolyn R. Bertozzi acquired 20,000 common shares via RSU vesting and received 60,000 new equity awards (RSUs and options).

How many OmniAb shares does Carolyn Bertozzi own after the transaction?

She directly owns 75,539 common shares following the reported transactions.

Were any shares sold by the insider?

No. The filing reports only acquisitions and grants; there were no dispositions.

What are the terms of the newly granted stock options?

Options cover 40,000 shares, carry a $1.70 exercise price, and expire on 17-Jun-2035. They vest on the earlier of the next annual meeting or one year from grant.

When will the newly granted RSUs vest?

The 20,000 RSUs vest fully on the earlier of the next annual shareholder meeting or the first anniversary of the 17-Jun-2025 grant date.