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Filing Details

Accession Number:: 0001209191-14-059645
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-09-24 17:54:29
Reporting Period:: 2014-09-22

Filing Date:: 2014-09-24
Accepted Time:: 2014-09-24 17:54:29
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
1315797	A Muneer Satter	C/O Tokai Pharmaceuticals, Inc. One Broadway, 14Th Floor Cambridge MA 01242		No	No	Yes	No

Reported Non-Derivative Transactions

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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	1,621,688	$0.00	1,621,688	No	4	C	Indirect	See footnote.
Common Stock	Acquisiton	2014-09-22	150,000	$15.00	1,771,688	No	4	P	Indirect	See footnote.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See footnote.
No	4	P	Indirect	See footnote.

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series D-1 Preferred Stock	Disposition	2014-09-22	4,577,315	$0.00	437,180	$0.00
Common Stock	Series D-2 Preferred Stock	Disposition	2014-09-22	457,728	$0.00	43,716	$0.00
Common Stock	Series D-3 Preferred Stock	Disposition	2014-09-22	3,931,085	$0.00	375,464	$0.00
Common Stock	Series E Preferred Stock	Disposition	2014-09-22	8,013,003	$0.00	765,328	$0.00

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect

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.
Includes (a) 745,969 shares of Common Stock that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares and (b) 875,719 shares of Common Stock that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clause (b) of this footnote, except to the extent of his pecuniary interest therein.
Various trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager acquired 150,000 shares of Common Stock in the Issuer's initial public offering. In his capacity as trustee, investment advisor or manager, the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all such shares, except to the extent of his pecuniary interest therein.
Includes (a) 2,496,718 shares of Series D-1 Preferred Stock that were held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares and (b) 2,080,597 shares of Series D-1 Preferred Stock that were held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clause (b) of this footnote, except to the extent of his pecuniary interest therein.
Includes (a) 249,671 shares of Series D-2 Preferred Stock that were held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares and (b) 208,057 shares of Series D-2 Preferred Stock that were held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clause (b) of this footnote, except to the extent of his pecuniary interest therein.
Includes (a) 2,144,236 shares of Series D-3 Preferred Stock that were held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares and (b) 1,786,849 shares of Series D-3 Preferred Stock that were held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clause (b) of this footnote, except to the extent of his pecuniary interest therein.
Includes (a) 2,919,671 shares of Series E Preferred Stock that were held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares and (b) 5,093,332 shares of Series E Preferred Stock that were held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clause (b) of this footnote, except to the extent of his pecuniary interest therein.