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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series A Convertible Preferred Shares (4) | (3) | 10/07/2015 | C | 131,380 | (3) | (3) | Ordinary Shares | 131,380 | (3) | 0 | I | Volati Limited (1) | |||
Series C Convertible Preferred Shares (4) | (3) | 10/07/2015 | C | 618,411 | (3) | (3) | Ordinary Shares | 618,411 | (3) | 0 | I | Volati Limited (1) | |||
Series D Convertible Preferred Shares (4) | (3) | 10/07/2015 | C | 829,546 | (3) | (3) | Ordinary Shares | 829,546 | (3) | 0 | I | Volati Limited (1) | |||
Series E Convertible Preferred Shares (4) | (3) | 10/07/2015 | C | 2,823,670 | (3) | (3) | Ordinary Shares | 2,823,670 | (3) | 0 | I | Volati Limited (1) | |||
Series F Convertible Preferred Shares (4) | (3) | 10/07/2015 | C | 1,121,329 | (3) | (3) | Ordinary Shares | 1,121,329 | (3) | 0 | I | Volati Limited (1) | |||
Series G Convertible Preferred Shares (4) | (3) | 10/07/2015 | C | 231,369 | (3) | (3) | Ordinary Shares | 231,369 | (3) | 0 | I | Volati Limited (1) | |||
Warrants | $ 3.54 | 10/09/2015 | X | 154,601 | (2) | 10/11/2015 | Ordinary Shares | 154,601 | $ 3.54 | 0 | I | Volati Limited (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Perlhagen Gert L. C/O NOVOCURE INC., 20 VALLEY STREAM PKWY SUITE 300 MALVERN, PA 19355 |
X | X | ||
Volati Ltd CHARTER PLACE, 23-27 SEATON PLACE ST. HELIER (CHANNEL ISLANDS), Y9 JE115Y |
X |
By: /s/ Todd Longsworth Attorney in fact for Gert Lennart Perlhagen | 10/09/2015 | |
**Signature of Reporting Person | Date | |
By: /s/ Todd Longsworth Attorney in fact for Volati Limited | 10/09/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Mr. Perlhagen is the settlor of, and a beneficiary of shares held by, the Oden Trust, the beneficial owner of Volati Limited. |
(2) | Currently exercisable as of the date hereof. |
(3) | N/A. |
(4) | Pursuant to the issuer's memorandum & articles of association, all outstanding preferred shares of each series automatically converted into ordinary shares upon the consummation of the issuer's initial public offering on October 7, 2015. |
Remarks: This Form 4 is filed for Gert Lennart Perlhagen and Volati Limited. |