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Filing Details

Accession Number:: 0001209191-14-059636
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-09-24 17:44:08
Reporting Period:: 2014-09-22

Filing Date:: 2014-09-24
Accepted Time:: 2014-09-24 17:44:08
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1404281	Tokai Pharmaceuticals Inc	TKAI	Pharmaceutical Preparations (2834)	000000000

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1404955	Loring Seth Harrison	C/O Tokai Pharmaceuticals, Inc. One Broadway, 14Th Floor Cambridge MA 02142		Yes	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2014-09-22	7,549,570	$0.00	7,549,579	No	4	C	Indirect	See footnote.
Common Stock	Acquisiton	2014-09-22	362,500	$15.00	7,912,079	No	4	P	Indirect	See footnote.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See footnote.
No	4	P	Indirect	See footnote.

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A Preferred Stock	Disposition	2014-09-22	4,500,000	$0.00	429,799	$0.00
Common Stock	Series B-1 Preferred Stock	Disposition	2014-09-22	798,067	$0.00	76,224	$0.00
Common Stock	Series B-2 Preferred Stock	Disposition	2014-09-22	644,786	$0.00	61,584	$0.00
Common Stock	Series C Preferred Stock	Disposition	2014-09-22	14,604,833	$0.00	1,394,921	$0.00
Common Stock	Series D-1 Preferred Stock	Disposition	2014-09-22	8,711,335	$0.00	832,028	$0.00
Common Stock	Series D-2 Preferred Stock	Disposition	2014-09-22	1,539,643	$0.00	147,053	$0.00
Common Stock	Series D-3 Preferred Stock	Disposition	2014-09-22	24,046,035	$0.00	2,296,661	$0.00
Common Stock	Series E Preferred Stock	Disposition	2014-09-22	24,199,308	$0.00	2,311,300	$0.00

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	212,694	Direct

Footnotes

The Series A, Series B-1, Series B-2, Series C, Series D-1, Series D-2, Series D-3 and Series E Preferred Stock converted into Common Stock on a 10.47-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series C, Series D-1, Series D-2, Series D-3 and Series E Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
Includes (a) 4,218,641 shares of Common Stock that are held by Apple Tree Partners II, L.P. and (b) 3,330,938 shares of Common Stock that are held by Apple Tree Partners II - Annex, L.P. The Reporting Person is a principal of the general partner of each of Apple Tree Partners II, L.P. and Apple Tree Partners II - Annex, L.P. and disclaims beneficial ownership of the shares held by each of Apple Tree Partners II, L.P. and Apple Tree Partners II - Annex, L.P., except to the extent of his pecuniary interest therein. The Reporting Person has sole voting and investment control and power over the shares held by Apple Tree Partners II, L.P. and Apple Tree Partners II - Annex, L.P.
Includes (a) 237,500 shares of Common Stock acquired by Apple Tree Partners II - Annex, L.P. in the Issuer's initial public offering and (b) 125,000 shares of Common Stock acquired by Apple Tree Partners IV, L.P. in the Issuer's initial public offering. The Reporting Person is a principal of the general partner of each of Apple Tree Partners II - Annex, L.P. and Apple Tree Partners IV, L.P. and disclaims beneficial ownership of the shares held by each of Apple Tree Partners II - Annex, L.P. and Apple Tree Partners IV, L.P., except to the extent of his pecuniary interest therein. The Reporting Person has sole voting and investment control and power over the shares held by Apple Tree Partners II - Annex, L.P. and Apple Tree Partners IV, L.P.
These shares were held by Apple Tree Partners II, L.P. The Reporting Person is a principal of the general partner of Apple Tree Partners II, L.P. and disclaims beneficial ownership of the shares held by Apple Tree Partners II, L.P., except to the extent of his pecuniary interest therein. The Reporting Person has sole voting and investment control and power over the shares held by Apple Tree Partners II, L.P.
Includes (a) 13,370,422 shares of D-3 Preferred Stock that were held by Apple Tree Partners II, L.P. and (b) 10,675,613 shares of Series D-3 Preferred Stock that were held by Apple Tree Partners II - Annex, L.P. The Reporting Person is a principal of the general partner of each of Apple Tree Partners II, L.P. and Apple Tree Partners II - Annex, L.P. and disclaims beneficial ownership of the shares held by each of Apple Tree Partners II, L.P. and Apple Tree Partners II - Annex, L.P., except to the extent of his pecuniary interest therein. The Reporting Person has sole voting and investment control and power over the shares held by Apple Tree Partners II, L.P. and Apple Tree Partners II - Annex, L.P.
These shares were held by Apple Tree Partners II - Annex, L.P. The Reporting Person is a principal of the general partner of Apple Tree Partners II - Annex, L.P. and disclaims beneficial ownership of the shares held by Apple Tree Partners II - Annex, L.P., except to the extent of his pecuniary interest therein. The Reporting Person has sole voting and investment control and power over the shares held by Apple Tree Partners II - Annex, L.P.