SEC Form 4 · accession 0001572426-16-000190
Nexvet Biopharma plc · NVET
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Gearing
Officer — Chief Scientific Officer
Period of report
Jul 1, 2016
Accepted (ET)
Jul 1, 2016 · 8:00 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 SharesF1 | Jul 1, 2016 | M | 3,733 | $0.125 | A | 283,063 | I | By Gearing Family Pty Ltd <Gearing Family A/C> |
| Ordinary Shares | Jul 1, 2016 | M | 7,500 | $0.125 | A | 13,100 | D | |
| Ordinary SharesF1 | holding | — | — | — | 125,903 | I | By DJGearing Pty Ltd <Gearing Family Superannuation 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options to Purchase SharesF1,F2 | $0.125 | Jul 1, 2016 | M | 3,733 | D | — | Jul 1, 2019 | Ordinary Shares | 3,733 | 3,733 | I |
| Restricted Stock UnitsF3 | $0.125 | Jul 1, 2016 | M | 7,500 | D | — | Jul 1, 2020 | Ordinary Shares | 7,500 | 22,500 | D |
Explanation of responses
- F1The reporting person and his spouse have shared voting and dispositive power with respect to these reported securities.
- F2The remaining 3,733 options will vest and become exercisable on 7/1/17.
- F37,500 of the Restricted Stock Units shall vest and become convertible on each of 7/1/17, 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.