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: BARBERICH TIMOTHY J (Director)

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series D-3 Preferred Stock	$		Common Stock (43718)		Direct
Series E Preferred Stock	$		Common Stock (77359)		Direct
Stock Option (right to buy)	$1.37	2020-04-29	Common Stock (8882)		Direct
Stock Option (right to buy)	$1.37	2021-09-07	Common Stock (5489)		Direct
Stock Option (right to buy)	$1.58	2023-06-26	Common Stock (7794)		Direct

Footnotes

F1: 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.

F2: 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.

F3: This option is fully vested.

F4: This option was granted on September 7, 2011. With respect to 477 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 596 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 1,957 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 2,459 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 4,391 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 3,403 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.