SEC Form 4 · accession 0001209191-15-028152
Eledon Pharmaceuticals, Inc. · ELDN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Mar 18, 2015
Accepted (ET)
Mar 20, 2015 · 2:37 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001404281
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 18, 2015 | S | 3,000 | $14.50 | D | 4,641,328 | D | |
| Common StockF2,F1 | Mar 19, 2015 | S | 46,141 | $14.50 | D | 4,595,187 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These 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.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.50 to $14.57, inclusive. The reporting persons undertake to provide to Tokai Pharmaceuticals Inc., any security holder of Tokai Pharmaceuticals Inc., 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 ranges set forth in this footnote to this Form 4.