SEC Form 4 · accession 0001209191-17-060434

Dova Pharmaceuticals Inc. · DOVA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Table I — non-derivative securities

Table II — derivative securities

Explanation of responses

• F1Represents the disposition of 12,214,953 shares of Common Stock held by PBM Capital Investments, LLC ("PBM") in a distribution to Paul Manning ("Manning") for no consideration.
• F2Prior to the distribution these shares were held by PBM. Manning had the sole voting and investment power with respect to the shares held by PBM.
• F3Represents the receipt by Manning of 12,214,953 shares of Common Stock from PBM in a distribution for no consideration.
• F4Consists of (i) 12,214,953 shares held directly by Manning, and (ii) 125,870 shares held by Manning together with his spouse as Joint Tenants with Right of Survivorship. The shares distributed to Manning will remain subject to a lock-up agreement for a period of 180 days following June 28, 2017, as required pursuant to a lock-up agreement PBM entered into with the underwriters in connection with the Issuer's initial public offering.
• F5These shares are held by BKB Growth Investments, LLC ("BKB"). Manning is a co-manager of BKB and, as such, has unilateral voting and investment power with respect to the shares held by BKB. Manning 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.

Remarks

Following the reported transaction herein, PBM Capital Investments, LLC is no longer subject to Section 16. However, Mr. Manning continues to be a Section 16 Reporting Person.