Statement of Changes in Beneficial Ownership (4)
June 08 2020 - 5:16PM
Edgar (US Regulatory)
FORM 4
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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
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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
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1. Name and Address of Reporting Person
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Bailey Gregory |
2. Issuer Name and Ticker or Trading Symbol
Biohaven Pharmaceutical Holding Co Ltd.
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BHVN
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
C/O BIOHAVEN PHARMACEUTICALS, INC., 215 CHURCH STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/5/2020 |
(Street)
NEW HAVEN, CT 06510
(City)
(State)
(Zip)
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4. 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 Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Shares | 6/5/2020 | | M | | 212500.00 | A | $0.61 | 2800101.00 | D | |
Common Shares | 6/5/2020 | | M | | 150000.00 | A | $5.60 | 2950101.00 | D | |
Common Shares | 6/5/2020 | | M | | 37700.00 | A | $9.29 | 2987801.00 | D | |
Common Shares | 6/5/2020 | | M | | 20000.00 | A | $10.82 | 3007801.00 | D | |
Common Shares | 6/5/2020 | | M | | 18000.00 | A | $28.76 | 3025801.00 | D | |
Common Shares | 6/5/2020 | | F | | 30143.00 (1) | D | $68.15 | 2995658.00 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
Stock Option (Right to Buy) | $28.76 | 6/5/2020 | | M | | | 18000.00 | (2) | 4/30/2028 | Common Shares | 18000.00 | $0.00 | 0.00 | D | |
Stock Option (Right to Buy) | $10.82 | 6/5/2020 | | M | | | 20000.00 | (3) | 4/5/2027 | Common Shares | 20000.00 | $0.00 | 0.00 | D | |
Stock Option (right to buy) | $9.29 | 6/5/2020 | | M | | | 37700.00 | (4) | 12/14/2026 | Common Shares | 37700.00 | $0.00 | 0.00 | D | |
Stock Option (Right to Buy) | $5.60 | 6/5/2020 | | M | | | 150000.00 | (5) | 10/22/2025 | Common Shares | 150000.00 | $0.00 | 0.00 | D | |
Stock Option (Right to Buy) | $0.61 | 6/5/2020 | | M | | | 212500.00 | (6) | 11/25/2024 | Common Shares | 212500.00 | $0.00 | 0.00 | D | |
Explanation of Responses: |
(1) | No shares were sold - these shares were withheld by the Issuer to satisfy the option exercise price. |
(2) | The shares subject to this stock option vested in full on May 1, 2019. |
(3) | The shares underlying this option vested as to 25% of the shares on April 6, 2017, with the remainder vesting in 3 equal installments on the first, second and third anniversaries of the grant date, subject to the reporting person's continued service as of each applicable vesting date. |
(4) | The shares underlying this option vested as to 25% of the shares on December 15, 2016, with the remainder vesting in 3 equal installments on the first, second and third anniversaries of the grant date, subject to the reporting person's continued service as of each applicable vesting date. |
(5) | The shares underlying this option vested as to 25% of the shares on October 23, 2015, with the remainder vesting in 3 equal installments on the first, second and third anniversaries of the grant date, subject to the reporting person's continued service as of each applicable vesting date. |
(6) | The shares underlying this option vested as to 25% of the shares on November 26, 2014, with the remainder vesting in 3 equal installments on the first, second and third anniversaries of the grant date, subject to the reporting person's continued service as of each applicable vesting date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Bailey Gregory C/O BIOHAVEN PHARMACEUTICALS, INC. 215 CHURCH STREET NEW HAVEN, CT 06510 | X |
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Signatures
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/s/ Jim Engelhart, Attorney-in-Fact | | 6/8/2020 |
**Signature of Reporting Person | Date |
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