Statement of Changes in Beneficial Ownership (4)

Date : 06/21/2019 @ 8:14PM
Source : Edgar (US Regulatory)
Stock : Minerva Neurosciences Inc (NERV)
Quote : 6.25  0.11 (1.79%) @ 4:59AM
After Hours
Last Trade
Last $ 6.25 ◊ 0.00 (0.00%)

Statement of Changes in Beneficial Ownership (4)

FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
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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
                      

1. Name and Address of Reporting Person *

Index Venture Associates III Ltd
2. Issuer Name and Ticker or Trading Symbol

Minerva Neurosciences, Inc. [ NERV ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      __ X __ 10% Owner
_____ Officer (give title below)      _____ Other (specify below)
(Last)          (First)          (Middle)

C/O EFG WEALTH SOLUTIONS (JERSEY) LTD., 5TH FLOOR, 44 ESPLANADE
3. Date of Earliest Transaction (MM/DD/YYYY)

6/19/2019
(Street)

ST. HELIER, Y9 JE1 3FG
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

___ Form filed by One Reporting Person
_ X _ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   6/19/2019     S    77243   (1) D $4.4425   (2) 4129764   (3) I   See Footnote   (4)
Common Stock   6/20/2019     S    33575   (5) D $4.3413   (6) 4096189   (7) I   See Footnote   (4)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares

Explanation of Responses:
(1)  Represents 13,389 shares sold by Index Ventures III (Jersey), L.P. ("Index III Jersey"), 27,198 shares sold by Index Ventures III (Delaware), L.P. ("Index III Delaware"), 484 shares sold by Index Ventures III Parallel Entrepreneur Fund (Jersey) L.P. ("Index III Parallel" and, together with Index III Jersey and Index III Delaware, the "Index III Funds"), 18,599 shares sold by Index Ventures IV (Jersey) L.P. ("Index IV Jersey"), 1,765 shares sold by Index Ventures IV Parallel Entrepreneur Fund (Jersey) L.P. ("Index IV Parallel" and, together with Index IV Jersey, the "Index IV Funds"), 14,708 shares sold by Index Ventures V (Jersey), L.P. ("Index V Jersey"), 119 shares sold by Index Ventures V Parallel Entrepreneur Fund (Jersey), L.P. ("Index V Parallel" and, together with Index V Jersey, the "Index V Funds") and 981 shares sold by Yucca (Jersey) SLP ("Yucca Jersey").
(2)  The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.31 to $4.555. The reporting persons undertake 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 set forth in this footnote.
(3)  Represents 715,828 shares held directly by Index III Jersey, 1,454,132 shares held directly by Index III Delaware, 25,905 shares held directly by Index III Parallel, 994,363 shares held directly by Index IV Jersey, 94,385 shares held directly by Index IV Parallel, 786,353 shares held directly by Index V Jersey, 6,371 shares held directly by Index V Parallel and 52,427 shares held directly by Yucca Jersey.
(4)  Index Venture Associates III Ltd. ("Index III GP") is the general partner of the Index III Funds, Index Venture Associates IV Ltd. ("Index IV GP") is the general partner of the Index IV Funds and Index Venture Associates V Ltd. ("Index V GP") is the general partner of the Index V Funds. Yucca (Jersey) SLP is the Administrator of the Index Co-Investment Scheme acting through Intertrust Employee Benefit Services Limited. Each of Index III GP, Index IV GP and Index V GP disclaims Section 16 beneficial ownership of the securities held by the Index III Funds, Index IV Funds and Index V Funds, respectively, and the shares held by Yucca Jersey, except to the extent of its respective pecuniary interest therein, if any, and this report shall not be deemed an admission that Index III GP, Index IV GP or Index V GP is the beneficial owner of such securities for Section 16 or any other purpose.
(5)  Represents 5,818 shares sold by Index III Jersey, 11,823 shares sold by Index III Delaware, 211 shares sold by Index III Parallel, 8,084 shares sold by Index IV Jersey, 768 shares sold by Index IV Parallel, 6,395 shares sold by Index V Jersey, 51 shares sold by Index V Parallel and 425 shares sold by Yucca Jersey.
(6)  The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.25 to $4.60. The reporting persons undertake 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 set forth in this footnote.
(7)  Represents 710,010 shares held directly by Index III Jersey, 1,442,309 shares held directly by Index III Delaware, 25,694 shares held directly by Index III Parallel, 986,279 shares held directly by Index IV Jersey, 93,617 shares held directly by Index IV Parallel, 779,958 shares held directly by Index V Jersey, 6,320 shares held directly by Index V Parallel and 52,002 shares held directly by Yucca Jersey.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Index Venture Associates III Ltd
C/O EFG WEALTH SOLUTIONS (JERSEY) LTD.
5TH FLOOR, 44 ESPLANADE
ST. HELIER, Y9 JE1 3FG

X

Index Venture Associates IV Ltd
C/O INTERTRUST FUND SERVICES (JERSEY)
LIMITED, 44 ESPLANADE
ST. HELIER, Y9 JE4 9WG

X

Index Venture Associates V Ltd
C/O INTERTRUST FUND SERVICES (JERSEY)
LIMITED, 44 ESPLANADE
ST. HELIER, Y9 JE4 9WG

X

Yucca (Jersey) SLP
C/O INTERTRUST EMPLOYEE BENEFIT SERVICES
LTD., 44 ESPLANADE
ST. HELIER, Y9 JE4 9WG

X


Signatures
Index Venture Associates III Ltd., By: /s/ Nigel Greenwood, Director 6/21/2019
** Signature of Reporting Person Date

Index Venture Associates IV Ltd., By: /s/ Michael Johnson, Director 6/21/2019
** Signature of Reporting Person Date

Index Venture Associates V Ltd., By: /s/ Michael Johnson, Director 6/21/2019
** Signature of Reporting Person Date

YUCCA (JERSEY) SLP, By: Intertrust Employee Benefit Services Ltd., as authorized signatory of Yucca (Jersey) SLP in its capacity as Administrator of the Index Co-Investment Scheme, By: /s/ Sarah Earles, /s/ Michael Johnson, Its: Authorized Signatories 6/21/2019
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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