0001209191-18-020365.txt : 20180316 0001209191-18-020365.hdr.sgml : 20180316 20180316183202 ACCESSION NUMBER: 0001209191-18-020365 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180315 FILED AS OF DATE: 20180316 DATE AS OF CHANGE: 20180316 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Altmeyer Mark CENTRAL INDEX KEY: 0001643074 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37418 FILM NUMBER: 18697005 MAIL ADDRESS: STREET 1: C/O AXOVANT SCIENCES, INC. STREET 2: 1441 BROADWAY, 3RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Axovant Sciences Ltd. CENTRAL INDEX KEY: 0001636050 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: D0 FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 20-22 BEDFORD ROW CITY: LONDON STATE: X0 ZIP: WC1R 4JS BUSINESS PHONE: 441-295-5950 MAIL ADDRESS: STREET 1: 20-22 BEDFORD ROW CITY: LONDON STATE: X0 ZIP: WC1R 4JS FORMER COMPANY: FORMER CONFORMED NAME: Axovant Sciences, Inc. DATE OF NAME CHANGE: 20150324 FORMER COMPANY: FORMER CONFORMED NAME: Roivant Neurosciences Ltd. DATE OF NAME CHANGE: 20150309 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-03-15 0 0001636050 Axovant Sciences Ltd. AXON 0001643074 Altmeyer Mark C/O AXOVANT SCIENCES, INC., 11 TIMES SQUARE, 33RD FLOR NEW YORK NY 10036 0 1 0 0 Pres (ASG) & Chief Comm. Ofc. Employee Stock Option (Right to Buy) 1.46 2018-03-15 4 A 0 340000 0.00 A 2028-03-15 Common Shares 340000 340000 D Employee Stock Option (Right to Buy) 1.46 2018-03-15 4 A 0 100000 0.00 A 2028-03-15 Common Shares 100000 100000 D The option vests over a period of four years, with one quarter of the common shares underlying the option vesting on March 15, 2019 and the remainder vesting in twelve equal quarterly installments thereafter, subject to the Reporting Person providing continuous service to the Issuer as of each such date. The option allows for early exercise, subject to the Issuer's repurchase option with respect to any unvested common shares. All common shares underlying the option will become fully vested upon a change in control, as that term is defined in the Issuer's 2015 Equity Incentive Plan. One-third of the option will vest at such time as the Issuer's stock price is equal to $4.38; one-third of the option will vest at such time as the Issuer's stock price is equal to $7.30, and one-third of the option will vest at such time as the Issuer's stock price is equal to $10.22, in each case subject to the Reporting Person providing continuous service to the Issuer on each such date. /s/ Gregory Weinhoff, Attorney-in-Fact 2018-03-16