Eledon Pharmaceuticals, Inc. — Director's Dealing 2014

Sep 17, 2014

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Tokai Pharmaceuticals Inc (TKAI)
CIK: 0001404281
Period of Report: 2014-09-16

Reporting Person: Thomas Robert Bain (10% Owner)

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series B-2 Preferred Stock	$		Common Stock (5469)		Indirect
Series C Preferred Stock	$		Common Stock (19009)		Indirect
Series D-1 Preferred Stock	$		Common Stock (8308)		Indirect
Series D-2 Preferred Stock	$		Common Stock (1701)		Indirect
Series D-3 Preferred Stock	$		Common Stock (26273)		Indirect
Series E Preferred Stock	$		Common Stock (76534)		Indirect

Footnotes

F1: The Series B-2 Preferred Stock is convertible into Common Stock on a 10.47-for-one basis into the number of shares of Common Stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F2: Robert Thomas as Trustee of the R.B. Thomas Superannuation Fund.

F3: The Series C Preferred Stock is convertible into Common Stock on a 10.47-for-one basis into the number of shares of Common Stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F4: The Series D-1 Preferred Stock is convertible into Common Stock on a 10.47-for-one basis into the number of shares of Common Stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F5: The Series D-2 Preferred Stock is convertible into Common Stock on a 10.47-for-one basis into the number of shares of Common Stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F6: The Series D-3 Preferred Stock is convertible into Common Stock on a 10.47-for-one basis into the number of shares of Common Stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F7: Robert Thomas as Trustee of the R.B. Thomas Family Trust.

F8: The Series E Preferred Stock is convertible into Common Stock on a 10.47-for-one basis into the number of shares of Common Stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date.