0001209191-17-060434.txt : 20171113 0001209191-17-060434.hdr.sgml : 20171113 20171113180639 ACCESSION NUMBER: 0001209191-17-060434 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171109 FILED AS OF DATE: 20171113 DATE AS OF CHANGE: 20171113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Manning Paul B CENTRAL INDEX KEY: 0001494695 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38135 FILM NUMBER: 171197602 MAIL ADDRESS: STREET 1: 200 GARRETT STREET SUITE S CITY: CHARLOTTESVILLE STATE: VA ZIP: 22902 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: PBM Capital Investments, LLC CENTRAL INDEX KEY: 0001665309 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38135 FILM NUMBER: 171197601 BUSINESS ADDRESS: STREET 1: 200 GARRETT STREET STREET 2: SUITE S CITY: CHARLOTTESVILLE STATE: VA ZIP: 22902 BUSINESS PHONE: 847-572-8280 MAIL ADDRESS: STREET 1: C/O AVEXIS, INC., 2275 HALF DAY ROAD STREET 2: SUITE 160 CITY: BANNOCKBURN STATE: IL ZIP: 60015 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Dova Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0001685071 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 813858961 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2530 MERIDIAN PARKWAY STREET 2: SUITE 300 CITY: DURHAM STATE: NC ZIP: 27713 BUSINESS PHONE: 919-806-4487 MAIL ADDRESS: STREET 1: 2530 MERIDIAN PARKWAY STREET 2: SUITE 300 CITY: DURHAM STATE: NC ZIP: 27713 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-11-09 0 0001685071 Dova Pharmaceuticals, Inc. DOVA 0001494695 Manning Paul B 200 GARRETT STREET, SUITE S CHARLOTTESVILLE VA 22902 1 0 1 0 0001665309 PBM Capital Investments, LLC 200 GARRETT STREET, SUITE S CHARLOTTESVILLE VA 22902 0 0 1 0 Common Stock 2017-11-09 4 J 0 12214953 0.00 D 0 I By LLC Common Stock 2017-11-09 4 J 0 12214953 0.00 A 12340823 D Common Stock 1783226 I By LLC Represents the disposition of 12,214,953 shares of Common Stock held by PBM Capital Investments, LLC ("PBM") in a distribution to Paul Manning ("Manning") for no consideration. Prior to the distribution these shares were held by PBM. Manning had the sole voting and investment power with respect to the shares held by PBM. Represents the receipt by Manning of 12,214,953 shares of Common Stock from PBM in a distribution for no consideration. Consists of (i) 12,214,953 shares held directly by Manning, and (ii) 125,870 shares held by Manning together with his spouse as Joint Tenants with Right of Survivorship. The shares distributed to Manning will remain subject to a lock-up agreement for a period of 180 days following June 28, 2017, as required pursuant to a lock-up agreement PBM entered into with the underwriters in connection with the Issuer's initial public offering. These shares are held by BKB Growth Investments, LLC ("BKB"). Manning is a co-manager of BKB and, as such, has unilateral voting and investment power with respect to the shares held by BKB. Manning disclaims beneficial ownership of the shares held by BKB except to the extent of his pecuniary interest therein, and the inclusion of the securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose. Following the reported transaction herein, PBM Capital Investments, LLC is no longer subject to Section 16. However, Mr. Manning continues to be a Section 16 Reporting Person. /s/Jason Saxe, Attorney-in-Fact 2017-11-13 /s/Jason Saxe, Attorney-in-Fact 2017-11-13