SEC Form 4 · accession 0001171000-15-000112
Nexvet Biopharma plc · NVET
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Geraldine T Farrell
Officer — VP Operations, General Counsel
Period of report
Nov 23, 2015
Accepted (ET)
Nov 24, 2015 · 4:19 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001618561
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Ordinary SharesF1 | Nov 23, 2015 | M | 4,300 | $0.125 | A | 21,253 | I | By Geraldine Therese Farrell & Andrew John Benston <Bulla Bulla Family A/C> |
| Ordinary Shares | holding | — | — | — | 4,300 | D | ||
| Ordinary SharesF2 | holding | — | — | — | 132 | I | By Nexvet EBT Limited |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to purchase sharesF1,F3 | $0.125 | Nov 23, 2015 | M | 4,300 | D | — | Jul 1, 2019 | Ordinary Shares | 4,300 | 5,733 | I |
Explanation of responses
- F1The reporting person and her spouse have shared voting and dispositive power with respect to these reported securities.
- F2The reporting person has sole voting and dispositive power over the reported securities pursuant to that certain Nominee Deed dated as of 11/14/14 by and between Nexvet EBT Limited and the persons named in the schedule thereto. Such Nominee Deed was executed in connection with the Issuer's November 2014 four-for-five share consolidation.
- F34,300 options to purchase shares vested and became exercisable on 11/19/15 after the Issuer's board of directors determined that there had been successful completion of an efficacy trial for an Issuer product. A further 2,867 options shall vest and become exercisable on 7/1/16, and 2,866 will vest on 7/1/17.