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