SEC Form 4 · accession 0001209191-17-044266
Dova Pharmaceuticals Inc. · DOVA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jul 5, 2017
Accepted (ET)
Jul 7, 2017 · 6:50 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001685071
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 5, 2017 | P | 100,000 | $17.00 | A | 100,000 | D | |
| Common StockF2 | Jul 5, 2017 | P | 50,000 | $17.00 | A | 1,783,226 | I | By LLC |
| Common StockF3 | holding | — | — | — | 12,214,953 | I | By LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares are held by the Reporting Person together with his spouse as Joint Tenants with Right of Survivorship.
- F2These shares are held by BKB Growth Investments, LLC ("BKB"). The Reporting Person is a co-manager of BKB and, as such, has unilateral voting and investment power with respect to the shares held by BKB. The Reporting Person disclaims beneficial ownership of the shares held by BKB except to the extent of his pecuniary interest therein, and the inclusion of the securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.
- F3These shares are held by PBM Capital Investments, LLC ("PBM"). The Reporting Person has the sole voting and investment power with respect to the shares held by PBM. The Reporting Person disclaims beneficial ownership of the shares held by PBM except to the extent of his pecuniary interest therein, and the inclusion of the securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.