0001209191-15-060901.txt : 20150715 0001209191-15-060901.hdr.sgml : 20150715 20150715161847 ACCESSION NUMBER: 0001209191-15-060901 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150713 FILED AS OF DATE: 20150715 DATE AS OF CHANGE: 20150715 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Tokai Pharmaceuticals Inc CENTRAL INDEX KEY: 0001404281 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 255 STATE STREET STREET 2: 6TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 617-225-4348 MAIL ADDRESS: STREET 1: 255 STATE STREET STREET 2: 6TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NOVARTIS AG CENTRAL INDEX KEY: 0001114448 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] STATE OF INCORPORATION: V8 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36620 FILM NUMBER: 15989486 BUSINESS ADDRESS: STREET 1: LICHTSTRASSE 35 CITY: BASEL STATE: V8 ZIP: CH 4056 BUSINESS PHONE: 01141613241111 MAIL ADDRESS: STREET 1: LICHTSTRASSE 35 CITY: BASEL STATE: V8 ZIP: CH 4056 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Novartis Bioventures Ltd CENTRAL INDEX KEY: 0001297709 STATE OF INCORPORATION: D0 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36620 FILM NUMBER: 15989487 BUSINESS ADDRESS: STREET 1: C/O NOVARTIS INTERNATIONAL AG STREET 2: WSJ-200.220 CITY: CH-4002 BASEL STATE: V8 ZIP: 0000000000 BUSINESS PHONE: 41-61-324-6210 MAIL ADDRESS: STREET 1: C/O NOVARTIS INTERNATIONAL AG STREET 2: WSJ-200.220 CITY: CH-4002 BASEL STATE: V8 ZIP: 0000000000 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-07-13 0 0001404281 Tokai Pharmaceuticals Inc TKAI 0001297709 Novartis Bioventures Ltd 131 FRONT STREET HAMILTON D0 HM 12 BERMUDA 0 0 1 0 0001114448 NOVARTIS AG LICHTSTRASSE 35 BASEL V8 4056 SWITZERLAND 0 0 1 0 Common Stock 2015-07-13 4 S 0 20611 14.202 D 4524885 D Common Stock 2015-07-14 4 S 0 27861 14.41 D 4497024 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.20 to $14.215, inclusive. The reporting persons undertake to provide to Tokai Pharmaceuticals Inc., any security holder of Tokai Pharmaceuticals Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. These shares are directly owned by Novartis BioVentures Ltd. Novartis BioVentures Ltd. is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.20 to $14.71, inclusive. The reporting persons undertake to provide to Tokai Pharmaceuticals Inc., any security holder of Tokai Pharmaceuticals Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. /s/ Michael Jones, Director and /s/ Laurieann Chaikowsky, Authorized Signatory of Novartis BioVentures Ltd. 2015-07-15 /s/ Michael Jones, by Power of Attorney on behalf of Novartis AG; and /s/ David Middleton by Power of Attorney on behalf of Novartis AG 2015-07-15