SEC Form 4 · accession 0001209191-17-030977
Biohaven Pharmaceutical Holding Co Ltd. · BHVN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Albert Cha
Director
Period of report
May 9, 2017
Accepted (ET)
May 9, 2017 · 4:45 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001689813
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1,F2 | May 9, 2017 | C | 1,506,818 | — | A | 1,506,818 | I | See footnote |
| Common SharesF3 | May 9, 2017 | P | 470,000 | $17.00 | A | 1,976,818 | I | See footnote |
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 SharesF2,F4 | — | May 9, 2017 | C | 1,506,818 | D | — | — | Common Shares | 1,506,818 | 0 | I |
Explanation of responses
- F1Represents shares received upon conversion of Series A Preferred Shares.
- F2The shares are held as follows: 1,323,990 shares are held by Vivo Capital Fund VIII, L.P. ("VCF") and 182,828 shares are held by Vivo Capital Surplus Fund VIII, L.P. ("VCSF"). The reporting person is one of the managing members of Vivo Capital VIII, LLC which is the general partner of both VCF and VCSF, and may be deemed to share voting and dispositive power over the shares held by VCF and VCSF. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes.
- F3The shares are held as follows: 412,973 shares are held by VCF and 57,027 shares are held by VCSF. The reporting person is one of the managing members of Vivo Capital VIII, LLC which is the general partner of both VCF and VCSF, and may be deemed to share voting and dispositive power over the shares held by VCF and VCSF. The reporting person disclaims beneficial ownership over such shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes.
- F4Effective immediately prior to the closing of the Issuer's initial public offering of its common shares, each Series A Preferred Share automatically converted into one common share of the Issuer. The Series A Preferred Shares had no expiration date.