0001209191-20-025015.txt : 20200417 0001209191-20-025015.hdr.sgml : 20200417 20200417205948 ACCESSION NUMBER: 0001209191-20-025015 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200415 FILED AS OF DATE: 20200417 DATE AS OF CHANGE: 20200417 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cheruvu Pavan CENTRAL INDEX KEY: 0001731741 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37418 FILM NUMBER: 20801083 MAIL ADDRESS: STREET 1: C/O AXOVANT SCIENCES, INC. STREET 2: 11 TIMES SQUARE, 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Axovant Gene Therapies Ltd. CENTRAL INDEX KEY: 0001636050 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 981333697 FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 11-12 ST. JAMES'S SQUARE STREET 2: SUITE 1, 3RD FLOOR CITY: LONDON STATE: X0 ZIP: SW1Y 4LB BUSINESS PHONE: 44 203 318 9708 MAIL ADDRESS: STREET 1: 11 TIMES SQUARE STREET 2: 33RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 FORMER COMPANY: FORMER CONFORMED NAME: Axovant Sciences Ltd. DATE OF NAME CHANGE: 20150324 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 2020-04-15 0 0001636050 Axovant Gene Therapies Ltd. AXGT 0001731741 Cheruvu Pavan C/O AXOVANT GENE THERAPIES LTD. 11 TIMES SQUARE, 33RD FLOOR NEW YORK NY 10036 1 1 0 0 Principal Executive Officer Stock Option (Right to Buy) 3.45 2020-04-15 4 A 0 169100 0.00 A 2030-04-14 Common Shares 169100 169100 D Restricted Stock Units 2020-04-15 4 A 0 112700 0.00 A Common Shares 112700 112700 D The option vests over a period of four years with 25% of the common shares underlying the option vesting on April 15, 2021 and the remainder vesting in 12 equal quarterly installments thereafter, subject to Reporting Person providing continuous service to the Issuer on 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. Each restricted stock unit represents the right to receive one share of the Issuer's common stock. One-third of the restricted stock unit shall vest on April 15, 2021, April 15, 2022 and April 15, 2023, subject to the Reporting Person providing continuous service to the Issuer through each such date. /s/ Alison Haggerty, Attorney-In-Fact 2020-04-17