SEC Form 3 · accession 0001209191-18-010474
Axovant Sciences Ltd. · AXON
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Pavan Cheruvu
Officer — Chief Executive Officer
Period of report
Feb 11, 2018
Accepted (ET)
Feb 15, 2018 · 5:39 pm EST
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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1 | $15.99 | holding | — | — | — | — | Nov 15, 2025 | Common Shares | 50,000 | — | D |
| Employee Stock Option (Right to Buy)F2 | $24.24 | holding | — | — | — | — | Apr 27, 2027 | Common Shares | 50,000 | — | D |
Explanation of responses
- F125% of the shares underlying the option vested and became exercisable on October 30, 2016; the remainder are vesting in twelve (12) equal quarterly installments thereafter, subject to the Reporting Person providing continuous service to the Issuer as of each such date.
- F2100% of the shares underlying the option will vest and become exercisable on April 28, 2018, subject to the Reporting Person providing continuous service to the Issuer as of that date.
Remarks
Exhibit List - Exhibit 24 - Power of Attorney