SEC Form 4 · accession 0000904454-18-000479
Provention Bio, Inc. · PRVB
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jul 19, 2018
Accepted (ET)
Jul 20, 2018 · 10:11 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001695357
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jul 19, 2018 | C | 2,400,000 | — | A | 2,400,000 | I | By Johnson & Johnson Innovation - JJDC, Inc. |
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 StockF2,F1 | — | Jul 19, 2018 | C | 2,400,000 | D | — | — | Common Stock | 2,400,000 | 0 | I |
Explanation of responses
- F1The Series A Preferred Stock had no expiration date and was automatically converted into shares of Common Stock on a 1-1 basis, for no additional consideration, immediately prior to the closing of the Issuer's initial public offering.
- F2The securities reported as being indirectly beneficially owned by the designated Reporting Person are directly beneficially owned by Johnson & Johnson Innovation - JJDC, Inc., a wholly-owned subsidiary of the designated Reporting Person.