SEC Form 4 · accession 0001171000-17-000039
Nexvet Biopharma plc · NVET
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Heffernan
Officer — Chief Executive Officer
Period of report
Jul 1, 2017
Accepted (ET)
Jul 5, 2017 · 12:11 pm EDT
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 Shares | Jul 1, 2017 | M | 25,000 | $0.125 | A | 74,167 | D | |
| Ordinary Shares | Jul 1, 2017 | M | 35,643 | $0.125 | A | 109,810 | D | |
| Ordinary SharesF1 | holding | — | — | — | 243,587 | I | By Mark Andrew and Patricia Louise Heffernan <M&T Heffernan A/C> |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Share UnitsF2 | $0.125 | Jul 1, 2017 | M | 25,000 | D | Jul 1, 2017 | Jul 1, 2020 | Ordinary Shares | 25,000 | 50,000 | D |
| Restricted Share UnitsF3 | $0.125 | Jul 1, 2017 | M | 35,643 | D | Jul 1, 2017 | Jul 1, 2020 | Ordinary Shares | 35,643 | 106,929 | D |
Explanation of responses
- F1The reporting person and his spouse share voting and dispositive power with respect to these reported securities.
- F225,000 of the Restricted Share Units vested and became convertible on 7/1/17 and 25,000 of the Restricted Share Units shall vest and become convertible on each of 7/1/18, 7/1/19 and 7/1/20, in each case subject to payment of the nominal value per share to Issuer within 30 days of vesting.
- F335,643 of the Restricted Share Units vested and became convertible on 7/1/17 and 35,643 of the Restricted Share Units shall vest and become convertible on each of 7/1/18, 7/1/19 and 7/1/20, in each case subject to payment of the nominal value per share to Issuer within 30 days of vesting.