Filing Details
- Accession Number:
- 0001209191-14-059634
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-09-24 17:42:58
- Reporting Period:
- 2014-09-22
- Filing Date:
- 2014-09-24
- Accepted Time:
- 2014-09-24 17:42:58
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1404281 | Tokai Pharmaceuticals Inc | TKAI | Pharmaceutical Preparations (2834) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1114448 | Ag Novartis | Lichtstrasse 35 Basel V8 4056 | No | No | Yes | No | |
| 1297709 | Ltd Bioventures Novartis | 131 Front Street Hamilton, D0 Hm D0 12 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-09-22 | 4,319,328 | $0.00 | 4,319,328 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2014-09-22 | 325,000 | $15.00 | 4,644,328 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series D-1 Preferred Stock | Disposition | 2014-09-22 | 15,396,431 | $0.00 | 1,470,528 | $0.00 |
| Common Stock | Series D-2 Preferred Stock | Disposition | 2014-09-22 | 1,539,643 | $0.00 | 147,052 | $0.00 |
| Common Stock | Series D-3 Preferred Stock | Disposition | 2014-09-22 | 13,222,826 | $0.00 | 1,262,925 | $0.00 |
| Common Stock | Series E Preferred Stock | Disposition | 2014-09-22 | 15,064,469 | $0.00 | 1,438,823 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct |
Footnotes
- The Series D-1, Series D-2, Series D-3 and Series E Preferred Stock converted into Common Stock on a 10.47-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D-1, Series D-2, Series D-3 and Series E Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
- 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.
- Novartis Bioventures Ltd., a wholly-owned indirect subsidiary of Novartis AG, acquired 325,000 shares of Common Stock in the Issuer's initial public offering.
Billionaire Hedge Funds
