SEC Form 4 · accession 0001171000-17-000041
Nexvet Biopharma plc · NVET
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Damian T. Lismore
Officer — Chief Financial Officer
Period of report
Jul 1, 2017
Accepted (ET)
Jul 5, 2017 · 12:18 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 | 13,750 | $0.125 | A | 47,500 | D | |
| Ordinary Shares | Jul 1, 2017 | M | 16,250 | $0.125 | A | 63,750 | D | |
| Ordinary Shares | Jul 1, 2017 | M | 4,000 | $0.125 | A | 67,750 | D | |
| Ordinary Shares | Jul 1, 2017 | M | 7,079 | $0.125 | A | 21,239 | I | By spouse |
| Ordinary SharesF1 | holding | — | — | — | 18,724 | I | Glenariff Superannuation Pty Ltd <Glenariff Super Fund 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 | Sep 5, 2016 | M | 65,000 | D | Jul 1, 2017 | Jul 1, 2020 | Ordinary Shares | 13,750 | 27,500 | D |
| Restricted Share UnitsF3 | $0.125 | Jul 1, 2017 | M | 16,250 | D | Jul 1, 2017 | Jul 1, 2021 | Ordinary Shares | 16,250 | 48,750 | D |
| Option to Purchase Shares | $0.125 | Jul 1, 2017 | M | 4,000 | D | Jul 1, 2017 | Jul 1, 2019 | Ordinary Shares | 4,000 | 0 | D |
| Option to Purchase Shares | $0.125 | Jul 1, 2017 | M | 7,079 | D | Nov 5, 2016 | Nov 5, 2023 | Ordinary Shares | 7,079 | 0 | I |
Explanation of responses
- F1The reporting person and his spouse share voting and dispositive power with respect to these reported securities.
- F213,750 of the Restricted Share Units vested and became convertible on 7/1/17 and 13,750 of the Restricted Share Units will vest and become convertible on each of 7/1/18 and 7/1/19, in each case subject to payment of the nominal value per share to Issuer within 30 days of vesting.
- F316,250 of the Restricted Share Units vested and became convertible on 7/1/17 and 16,250 of the Restricted Share Units will 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.