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: Apple Tree Partners II - Annex, L.P. (10% Owner)

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series D-3 Preferred Stock	$		Common Stock (1019638)		Direct
Series E Preferred Stock	$		Common Stock (2311300)		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.