Initial Statement of Beneficial Ownership (3)
May 29 2020 - 4:36PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Raifeld Pavel |
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/20/2020
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3. Issuer Name and Ticker or Trading Symbol
Innoviva, Inc. [INVA]
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(Last)
(First)
(Middle)
1350 OLD BAYSHORE HIGHWAY, SUITE 400 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Executive Officer / |
(Street)
BURLINGAME, CA 94010
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Nonstatutory Stock Option | 5/20/2021 (1) | 5/20/2030 | Common Stock | 250000 | $14.1 | D | |
Explanation of Responses: |
(1) | 25% of the options will vest on May 20, 2021 and the balance will vest in twelve (12) substantially equal installments thereafter on each three (3) month anniversary of the initial vesting date, in each case, subject to Mr. Raifeld's continuous service through the applicable vesting date, with accelerated vesting in the event of a "change in control" (as defined in the Issuer's 2012 Equity Incentive Plan) or in the event that Mr. Raifeld experiences an "involuntary termination" (as defined in Mr. Raifeld's option agreement) within 24 months following a "change in control." |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Raifeld Pavel 1350 OLD BAYSHORE HIGHWAY, SUITE 400 BURLINGAME, CA 94010 |
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| Chief Executive Officer |
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Signatures
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/s/ Pavel Raifeld | | 5/29/2020 |
**Signature of Reporting Person | Date |
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