AI assistant
Novartis AG — Director's Dealing 2014
Sep 17, 2014
940_dirs_2014-09-16_d34b89dd-11f1-4c7b-b540-2ec0bd019867.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Tokai Pharmaceuticals Inc (TKAI)
CIK: 0001404281
Period of Report: 2014-09-16
Reporting Person: Novartis Bioventures Ltd (10% Owner)
Reporting Person: NOVARTIS AG (10% Owner)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series D-1 Preferred Stock | $ | Common Stock (1470528) | Direct | ||
| Series D-2 Preferred Stock | $ | Common Stock (147052) | Direct | ||
| Series D-3 Preferred Stock | $ | Common Stock (1262925) | Direct | ||
| Series E Preferred Stock | $ | Common Stock (1438823) | Direct |
Footnotes
F1: 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.
F2: These shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd. is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities.
F3: 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.
F4: 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.
F5: The Series E Preferred Stock is convertible into Common Stock on a 10.47-for-one basis into the number of shares of Common Stockshown 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.