Statement of Changes in Beneficial Ownership (4)
November 26 2021 - 4:27PM
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
*
Clark George C. |
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)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) VP, Chief Accounting Officer |
(Last)
(First)
(Middle)
C/O BIOHAVEN PHARMACEUTICALS, INC., 215 CHURCH STREET |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/23/2021 |
(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 | 11/23/2021 | | M | | 1915.00 | A | $32.42 | 7473.00 | D | |
Common Shares | 11/26/2021 | | M | | 5000.00 | A | $0.00 | 12473.00 | D | |
Common Shares | 11/26/2021 | | F | | 2318.00 (1) | D | $115.55 | 10155.00 | 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 |
Employee Stock Option (right to buy) | $32.42 | 11/23/2021 | | M | | | 1915.00 | (2) | 11/20/2028 | Common Shares | 1915.00 | $0.00 | 4795.00 | D | |
Restricted Share Unit Award | (3) | 11/26/2021 | | M | | | 5000.00 | (4) | (5) | Common Shares | 5000.00 | $0.00 (3) | 15000.00 | D | |
Explanation of Responses: |
(1) | No shares were sold - these shares were withheld by the Issuer to satisfy tax withholding requirements in connection with the vesting of restricted share units. |
(2) | The shares underlying this option vest in four equal installments on November 20, 2019, 2020, 2021 and 2022, subject to the reporting person's continued service with the issuer at each vesting date. |
(3) | Each restricted share unit represents the contingent right to receive one common share of the issuer. |
(4) | The reporting person was granted 20,000 restricted share units on May 7, 2021, vesting in four equal installments on May 7, 2021, 2022, 2023 and 2024 subject to the reporting person's continued service with the issuer at each vesting date. |
(5) | Not applicable. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Clark George C. C/O BIOHAVEN PHARMACEUTICALS, INC. 215 CHURCH STREET NEW HAVEN, CT 06510 |
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| VP, Chief Accounting Officer |
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Signatures
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/s/ George C. Clark | | 11/26/2021 |
**Signature of Reporting Person | Date |
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