Amended Statement of Changes in Beneficial Ownership (4/a)
March 26 2021 - 4:15PM
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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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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Heffernan Michael Thomas |
2. Issuer Name and Ticker or Trading Symbol
Biohaven Pharmaceutical Holding Co Ltd.
[
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)
1/31/2020 |
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(Street)
NEW HAVEN, CT 06510
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
1/31/2020 |
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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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) | $48.49 | 1/31/2020 | | A | | 26200.00 (1) | | (2) | 1/31/2030 | Common Shares | 26200.00 | $0.00 | 26200.00 | D | |
| Stock Option (Right to Buy) | $47.10 | 4/30/2020 | | A | | 0.00 (3) | | (4) | 4/29/2030 | Common Shares | 0.00 | $0.00 | 0.00 | D | |
| Explanation of Responses: |
| (1) | On January 31, 2020, the reporting person filed a Form 4 in respect of 36,000 options granted pursuant to the issuer's non-employee director compensation policy. The issuer subsequently determined that 9,800 of the options comprising such award were null and void upon grant as a result of the $1,000,000 annual limit for non-employee director compensation under its 2017 Equity Incentive Plan. |
| (2) | This option grant was made pursuant to the issuer's non-employee director compensation policy. The common shares underlying this option vest in three equal installments on January 31, 2021, 2022 and 2023, subject to the reporting person's continuous service with the issuer at each vesting date. |
| (3) | On May 1, 2020, the reporting person filed a Form 4 in respect of 18,000 options granted pursuant to the issuer's non-employee director compensation policy. The issuer subsequently determined that all 18,000 of the options comprising such award were null and void upon grant as a result of the $1,000,000 annual limit for non-employee director compensation under its 2017 Equity Incentive Plan. |
| (4) | The shares subject to this stock option will vest in full on the earlier of (a) April 30, 2021 or (b) the date of the 2021 Annual Meeting of Shareholders, in each case subject to the Reporting Person's continuous service with the Issuer through such vesting date. |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Heffernan Michael Thomas
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 | | 3/26/2021 |
| **Signature of Reporting Person | Date |
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