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