SEC Form 4 · accession 0001209191-17-031374
Ovid Therapeutics Inc. · OVID
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Matthew During
Officer — President and CSO · Director · 10% Owner
Period of report
May 10, 2017
Accepted (ET)
May 10, 2017 · 5:14 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001636651
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | May 10, 2017 | C | 28,245 | — | A | 4,307,314 | D | |
| Common Stock | holding | — | — | — | 93,023 | I | By Somnium Trust F | |
| Common Stock | holding | — | — | — | 93,023 | I | By Somnium Trust J | |
| Common Stock | holding | — | — | — | 93,023 | I | By Somnium Trust M | |
| Common Stock | holding | — | — | — | 93,023 | I | By Somnium Trust Z |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Preferred StockF1 | — | May 10, 2017 | C | 28,245 | D | — | — | Common Stock | 28,245 | 0 | D |
Explanation of responses
- F1The Series A Preferred Stock converted into shares of the Issuer's common stock upon the closing of the Issuer's initial public offering, on a one-for-one basis and had no expiration date.