SEC Form 3 · accession 0001209191-15-052023
Axovant Sciences Ltd. · AXON
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Atul Pande
Director
Period of report
Jun 10, 2015
Accepted (ET)
Jun 10, 2015 · 6:38 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001636050
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares | holding | — | — | — | 0 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1 | $0.90 | holding | — | — | — | — | Mar 17, 2025 | Common Shares | 75,000 | — | D |
Explanation of responses
- F1This option vests over a period of three years, with one third of the common shares underlying the option vesting on March 18, 2016 and the remainder vesting in eight equal quarterly installments thereafter. The option allows for early exercise, subject to the Issuer's repurchase option with respect to any unvested common shares. All common shares underlying such option will become fully vested upon a change in control, as that term is defined in the Issuer's 2015 Equity Incentive Plan.
Remarks
Exhibit List - Exhibit 24 - Power of Attorney