Eledon Pharmaceuticals, Inc. — Director's Dealing 2014

Sep 24, 2014

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: Tokai Pharmaceuticals Inc (TKAI)
CIK: 0001404281
Period of Report: 2014-09-22

Reporting Person: APPLE TREE PARTNERS II LP (Director, 10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2014-09-22	Common Stock	C	4218632	—	Acquired	4218641	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2014-09-22	Series A Preferred Stock	$	C	4500000	Disposed		Common Stock (429799)	Direct
2014-09-22	Series B-1 Preferred Stock	$	C	798067	Disposed		Common Stock (76224)	Direct
2014-09-22	Series B-2 Preferred Stock	$	C	644786	Disposed		Common Stock (61584)	Direct
2014-09-22	Series C Preferred Stock	$	C	14604833	Disposed		Common Stock (1394921)	Direct
2014-09-22	Series D-1 Preferred Stock	$	C	8711335	Disposed		Common Stock (832028)	Direct
2014-09-22	Series D-2 Preferred Stock	$	C	1539643	Disposed		Common Stock (147053)	Direct
2014-09-22	Series D-3 Preferred Stock	$	C	13370422	Disposed		Common Stock (1277023)	Direct

Footnotes

F1: The Series A, Series B-1, Series B-2, Series C, Series D-1, Series D-2 and Series D-3 Preferred Stock converted into Common Stock on a 10.47-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series C, Series D-1, Series D-2 and Series D-3 Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.