Initial Statement of Beneficial Ownership (3)
August 19 2019 - 6:42PM
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
Estimated average burden
hours per response...
0.5
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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
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Stock Elyse
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2. Date of Event Requiring Statement (MM/DD/YYYY)
8/8/2019
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3. Issuer Name
and
Ticker or Trading Symbol
Biohaven Pharmaceutical Holding Co Ltd. [BHVN]
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(Last)
(First)
(Middle)
C/O BIOHAVEN PHARMACEUTICALS, INC., 215 CHURCH STREET
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Chief Medical Officer /
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(Street)
NEW HAVEN, CT 06510
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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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)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Option (Right to Buy)
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(1)
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4/5/2027
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Common Shares
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37000
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$10.82
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D
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Employee Stock Option (Right to Buy)
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(2)
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9/4/2027
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Common Shares
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10000
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$37.54
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D
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Employee Stock Option (Right to Buy)
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(3)
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12/6/2027
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Common Shares
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42612
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$20.79
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D
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Employee Stock Option (Right to Buy)
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(4)
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11/20/2028
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Common Shares
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65000
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$32.42
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D
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Employee Stock Option (Right to Buy)
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(5)
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3/22/2029
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Common Shares
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6000
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$50.85
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D
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Explanation of Responses:
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(1)
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The option became exercisable as to 18,500 of these shares on and prior to April 6, 2019 and becomes exercisable as to the remaining 18,500 shares on April 6, 2020, subject to the reporting person's continued service as of such date.
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(2)
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The option became exercisable as to 2,500 of these shares on September 5, 2018, with the remainder vesting in 3 equal installments on September 5, 2019, September 5, 2020 and September 5, 2021, subject to the reporting person's continuing service as of each applicable vesting date.
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(3)
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The option became exercisable as to 10,653 of these shares on December 7, 2018, with the remainder vesting in 3 equal installments on December 7, 2019, December 7, 2020 and December 7, 2021, subject to the reporting person's continuing service as of each applicable vesting date.
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(4)
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The option vests in 4 equal installments on the first, second, third and fourth anniversaries of November 20, 2018, in each case subject to the reporting person's continuing service as of each applicable vesting date.
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(5)
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This option vested as to all 6,000 shares on June 27, 2019.
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Remarks:
Exhibit 24.1 - Power of Attorney
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Stock Elyse
C/O BIOHAVEN PHARMACEUTICALS, INC.
215 CHURCH STREET
NEW HAVEN, CT 06510
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Chief Medical Officer
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Signatures
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/s/ James Engelhart, Attorney-in-fact
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8/19/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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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