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Eledon Pharmaceuticals, Inc. — Director's Dealing 2014
Sep 17, 2014
33900_dirs_2014-09-16_e51f286b-a54e-4b53-b77e-a6ea0958deaa.zip
Director's Dealing
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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 LP (10% Owner)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 9 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series A Preferred Stock | $ | Common Stock (429799) | Direct | ||
| Series B-1 Preferred Stock | $ | Common Stock (76224) | Direct | ||
| Series B-2 Preferred Stock | $ | Common Stock (61584) | Direct | ||
| Series C Preferred Stock | $ | Common Stock (1394921) | Direct | ||
| Series D-1 Preferred Stock | $ | Common Stock (832028) | Direct | ||
| Series D-2 Preferred Stock | $ | Common Stock (147053) | Direct | ||
| Series D-3 Preferred Stock | $ | Common Stock (1277023) | Direct |
Footnotes
F1: The Series A 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 B-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.
F3: 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.
F4: 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.
F5: 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.
F6: 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.
F7: 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.