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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 | ||||||||
Warrants | $ 3.59 | 02/28/2017 | M | 686,836 | (6) | 07/31/2017 | Ordinary Shares | 686,836 | $ 0 | 0 | I | WFD Ventures Fund II, L.P. (1) | |||
Warrants | $ 3.59 | 02/28/2017 | M | 525,618 | (6) | 07/21/2018 | Ordinary Shares | 525,618 | $ 0 | 0 | I | WFD Ventures Fund II, L.P. (1) | |||
Warrants | $ 3.59 | (6) | 07/31/2017 | Ordinary Shares | 6,498 | 6,498 | D | ||||||||
Warrants | $ 3.59 | (6) | 07/21/2018 | Ordinary Shares | 3,879 | 3,879 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DOYLE WILLIAM F C/O NOVOCURE INC. 20 VALLEY STREAM PKWY, SUITE 300 MALVERN, PA 19355 |
X | X | Executive Chairman | |
WFD Ventures Fund II, L.P. C/O NOVOCURE INC., 20 VALLEY STREAM PKWY SUITE 300 MALVERN, PA 19355 |
X | Director by Deputization |
By: /s/ William F. Doyle | 03/02/2017 | |
**Signature of Reporting Person | Date | |
WFD Ventures Fund II, L.P., By: WFD-GP II, LLC, its general partner, By: WFD Ventures LLC, sole member of WFD-GP II LLC, By: /s/ William F. Doyle, Title: Managing Director | 03/02/2017 | |
**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. Doyle is a managing director of WFD Ventures LLC, the sole member of WFD-GP II, LLC, which is the general partner of WFD Ventures Fund II, L.P. Mr. Doyle disclaims beneficial ownership of the reported shares except to the extent of his pecuniary interest. |
(2) | Reflects 324,440 ordinary shares withheld by the issuer at the market price of $7.60 per share less an exercise price of $3.59 per share in connection with the cashless exercise of 362,396 warrants to purchase ordinary shares owned by WFD Ventures Fund II, L.P. |
(3) | Reflects 248,285 ordinary shares withheld by the issuer at the market price of $7.60 per share less an exercise price of $3.59 per share in connection with the cashless exercise of 277,333 warrants to purchase ordinary shares owned by WFD Ventures Fund II, L.P. |
(4) | The Amendment filed on Form 4/A on February 21, 2017 incorrectly reflected the total number of ordinary shares beneficially owned by WFD Ventures Fund II, L.P. WFD Ventures Fund II, L.P. beneficially owned 19,136,038 ordinary shares following the transactions reported by the aforementioned Form 4/A. |
(5) | The Amendment filed on Form 4/A on February 21, 2017 incorrectly reflected the total number of ordinary shares beneficially owned by William F. Doyle. William F. Doyle beneficially owned 84,699 ordinary shares following the transactions reported by the aforementioned Form 4/A. |
(6) | Currently exercisable as of the date hereof. |