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: Morrison Jodie Pope (Director, President and CEO)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	9551	Direct

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Stock Option (right to buy)	$2.31	2018-05-01	Common Stock (2574)		Direct
Stock Option (right to buy)	$0.63	2019-05-05	Common Stock (22441)		Direct
Stock Option (right to buy)	$1.37	2021-06-29	Common Stock (60878)		Direct
Stock Option (right to buy)	$1.37	2021-09-07	Common Stock (59007)		Direct
Stock Option (right to buy)	$1.58	2023-06-26	Common Stock (341300)		Direct

Footnotes

F1: This option is fully vested.

F2: This option is fully vested.

F3: This option was granted on June 29, 2011, with 2.0833% of the shares underlying the option vesting on July 1, 2011 and an additional 2.0833% vesting on the first day of each month thereafter through June 1, 2015.

F4: This option was granted on September 7, 2011. With respect to 5,131 shares underlying the option, 2.0833% of those shares vested on October 1, 2011 and an additional 2.0833% of those shares vest on the first day of each month thereafter through September 1, 2015. With respect to 6,414 shares underlying the option, 2.0833% of those shares vested on October 7, 2011 and an additional 2.0833% of those shares vest on the first day of each month thereafter through September 1, 2015. With respect to 21,037 shares underlying the option, 8.3333% of those shares vested on January 27, 2012 and an additional 2.0833% of those shares vest on the first day of each month thereafter through September 1, 2015. With respect to 26,425 shares underlying the option, 20.8333% of those shares vested on July 12, 2012 and an additional 2.0833% of those shares vest on the first day of each month thereafter through September 1, 2015.

F5: This option was granted on June 26, 2013. With respect to 258,825 shares underlying the option, 2.0833% of those shares vested on July 1, 2013 and an additional 2.0833% of those shares vest on the first day of each month thereafter through June 1, 2017. With respect to 82,475 shares underlying the option, 8.333% of those shares vested on October 24, 2013 and an additional 2.0833% of those shares vest on the first day of each month thereafter through June 1, 2017. This option is also subject to acceleration by 12 months upon the closing of the Issuer's initial public offering.