Filing Details
- Accession Number:
- 0001562180-15-000624
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-07-30 17:33:50
- Reporting Period:
- 2015-07-28
- Filing Date:
- 2015-07-30
- Accepted Time:
- 2015-07-30 17:33:50
- 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 |
|---|---|---|---|---|---|---|---|
| 1618247 | Pope Jodie Morrison | C/O Tokai Pharmaceuticals, Inc. 255 State Street, 6Th Floor Boston MA 02109 | President And Ceo | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2015-07-28 | 12,000 | $1.58 | 31,551 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-07-28 | 12,000 | $13.70 | 19,551 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2015-07-29 | 564 | $1.58 | 20,115 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2015-07-29 | 564 | $13.70 | 19,551 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2015-07-29 | 7,000 | $0.63 | 26,551 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2015-07-29 | 3,000 | $1.37 | 29,551 | No | 4 | M | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2015-07-28 | 12,000 | $0.00 | 12,000 | $1.58 |
| Common Stock | Stock Option (right to buy) | Disposition | 2015-07-29 | 564 | $0.00 | 564 | $1.58 |
| Common Stock | Stock Option (right to buy) | Disposition | 2015-07-29 | 7,000 | $0.00 | 7,000 | $0.63 |
| Common Stock | Stock Option (right to buy) | Disposition | 2015-07-29 | 3,000 | $0.00 | 3,000 | $1.37 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 313,300 | 2023-06-26 | No | 4 | M | Direct | |
| 312,736 | 2023-06-26 | No | 4 | M | Direct | |
| 8,015 | 2019-05-05 | No | 4 | M | Direct | |
| 57,878 | 2021-06-29 | No | 4 | M | Direct |
Footnotes
- The sales reported on this Form 4 were effected pursuant to a trading plan adopted pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.69 to $13.73 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
- This option was granted on June 26, 2013. With respect to 258,825 shares underlying the option, 2.0833% of those shares vested on July 1, 2013 and an additional 2.0833% of those shares vest on the first day of each month thereafter through June 1, 2017. With respect to 82,475 shares underlying the option, 8.333% of those shares vested on October 24, 2013 and an additional 2.0833% of those shares vest on the first day of each month thereafter through June 1, 2017. Upon the closing of the Issuers initial public offering in September 2014, the vesting for this option accelerated by 12 months.
- This option is fully vested.
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