Filing Details

Accession Number:
0001562180-15-000624
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-07-30 17:33:50
Reporting Period:
2015-07-28
Filing Date:
2015-07-30
Accepted Time:
2015-07-30 17:33:50
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
1618247 Pope Jodie Morrison C/O Tokai Pharmaceuticals, Inc.
255 State Street, 6Th Floor
Boston MA 02109
President And Ceo No No No 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 2015-07-28 12,000 $1.58 31,551 No 4 M Direct
Common Stock Disposition 2015-07-28 12,000 $13.70 19,551 No 4 S Direct
Common Stock Acquisiton 2015-07-29 564 $1.58 20,115 No 4 M Direct
Common Stock Disposition 2015-07-29 564 $13.70 19,551 No 4 S Direct
Common Stock Acquisiton 2015-07-29 7,000 $0.63 26,551 No 4 M Direct
Common Stock Acquisiton 2015-07-29 3,000 $1.37 29,551 No 4 M Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 M Direct
No 4 M Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (right to buy) Disposition 2015-07-28 12,000 $0.00 12,000 $1.58
Common Stock Stock Option (right to buy) Disposition 2015-07-29 564 $0.00 564 $1.58
Common Stock Stock Option (right to buy) Disposition 2015-07-29 7,000 $0.00 7,000 $0.63
Common Stock Stock Option (right to buy) Disposition 2015-07-29 3,000 $0.00 3,000 $1.37
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
313,300 2023-06-26 No 4 M Direct
312,736 2023-06-26 No 4 M Direct
8,015 2019-05-05 No 4 M Direct
57,878 2021-06-29 No 4 M Direct
Footnotes
  1. The sales reported on this Form 4 were effected pursuant to a trading plan adopted pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.69 to $13.73 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
  3. This option was granted on June 26, 2013. With respect to 258,825 shares underlying the option, 2.0833% of those shares vested on July 1, 2013 and an additional 2.0833% of those shares vest on the first day of each month thereafter through June 1, 2017. With respect to 82,475 shares underlying the option, 8.333% of those shares vested on October 24, 2013 and an additional 2.0833% of those shares vest on the first day of each month thereafter through June 1, 2017. Upon the closing of the Issuers initial public offering in September 2014, the vesting for this option accelerated by 12 months.
  4. This option is fully vested.