FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
|||||||||||||||
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
|
2. Issuer Name and Ticker or Trading Symbol
Evoke Pharma Inc [ EVOK ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
||||||||||||||||||||||||
3. Date of Earliest Transaction
(Month/Day/Year) 06/17/2019 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
---|---|---|---|---|---|---|---|---|---|---|
1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $3.07 | 06/17/2019 | D | 85,000 | (1) | 01/27/2026 | Common Stock | 85,000 | (2) | 0 | D | ||||
Stock Option (Right to Buy) | $3.04 | 06/17/2019 | D | 70,687 | (3) | 02/04/2026 | Common Stock | 70,687 | (4) | 0 | D | ||||
Stock Option (Right to Buy) | $3.04 | 06/17/2019 | D | 60,000 | (3) | 02/04/2026 | Common Stock | 60,000 | (5) | 0 | D | ||||
Stock Option (Right to Buy) | $2.36 | 06/17/2019 | D | 225,000 | (6) | 01/24/2027 | Common Stock | 225,000 | (7) | 0 | D | ||||
Stock Option (Right to Buy) | $2.43 | 06/17/2019 | D | 225,000 | (8) | 02/06/2028 | Common Stock | 225,000 | (9) | 0 | D | ||||
Stock Option (Right to Buy) | $2.94 | 06/17/2019 | D | 225,000 | (10) | 02/05/2029 | Common Stock | 225,000 | (11) | 0 | D | ||||
Stock Option (Right to Buy) | $0.62 | 06/17/2019 | A | 63,750 | (12) | 01/27/2026 | Common Stock | 63,750 | $0.00 | 63,750 | D | ||||
Stock Option (Right to Buy) | $0.62 | 06/17/2019 | A | 53,015 | (12) | 02/04/2026 | Common Stock | 53,015 | $0.00 | 53,015 | D | ||||
Stock Option (Right to Buy) | $0.62 | 06/17/2019 | A | 45,000 | (12) | 02/04/2026 | Common Stock | 45,000 | $0.00 | 45,000 | D | ||||
Stock Option (Right to Buy) | $0.62 | 06/17/2019 | A | 168,750 | (12) | 01/24/2017 | Common Stock | 168,750 | $0.00 | 168,750 | D | ||||
Stock Option (Right to Buy) | $0.62 | 06/17/2019 | A | 168,750 | (12) | 02/06/2028 | Common Stock | 168,750 | $0.00 | 168,750 | D | ||||
Stock Option (Right to Buy) | $0.62 | 06/17/2019 | A | 168,750 | (12) | 02/05/2029 | Common Stock | 168,750 | $0.00 | 168,750 | D |
Explanation of Responses: |
1. The total number of shares of common stock subject to the option vests in 48 equal monthly installments over the four-year period beginning on January 1, 2016, subject to the reporting person's continued service to the Issuer through each such vesting date. |
2. On June 17, 2019, the Issuer canceled an option granted on January 28, 2016. In exchange for the canceled option, the reporting person received 63,750 options to purchase common stock. |
3. The total number of shares of common stock subject to the option vests in 36 equal monthly installments over the three-year period beginning on January 1, 2016, subject to the reporting person's continued service to the Issuer through each such vesting date. |
4. On June 17, 2019, the Issuer canceled an option granted on February 5, 2016. In exchange for the canceled option, the reporting person received 53,015 options to purchase common stock. |
5. On June 17, 2019, the Issuer canceled an option granted on February 5, 2016. In exchange for the canceled option, the reporting person received 45,000 options to purchase common stock. |
6. The total number of shares of common stock subject to the option vests in 48 equal monthly installments over the four-year period beginning on January 1, 2017, subject to the reporting person's continued service to the Issuer through each such vesting date. |
7. On June 17, 2019, the Issuer canceled an option granted on January 25, 2017. In exchange for the canceled option, the reporting person received 168,750 options to purchase common stock. |
8. The option grant date was February 7, 2018, subject to approval of the Issuer's Amended and Restated 2013 Equity Incentive Plan (the "Plan") by the Issuer's stockholders which occurred at the Issuer's annual stockholder meeting on April 26, 2018. The total number of shares of common stock subject to the option vests in 48 equal monthly installments over the four-year period beginning on January 1, 2018, subject to the reporting person's continued service to the Issuer through each such vesting date. Notwithstanding the foregoing vesting schedule, in no event may the option be exercised prior to the earlier of (i) the date on which the Issuer receives marketing approval from the U.S. Food and Drug Administration of Gimoti, (ii) the second anniversary of the date of grant, or (iii) the date of a "change in control" under Section 2.9 of the Plan. |
9. On June 17, 2019, the Issuer canceled an option granted on February 7, 2018. In exchange for the canceled option, the reporting person received 168,750 options to purchase common stock. |
10. The total number of shares of common stock subject to the option vests in 48 equal monthly installments over the four-year period beginning on January 1, 2019, subject to the reporting person's continued service to the Issuer through each such vesting date. |
11. On June 17, 2019, the Issuer canceled an option granted on February 6, 2019. In exchange for the canceled option, the reporting person received 168,750 options to purchase common stock. |
12. The total number of shares of common stock subject to the option vests in 48 equal monthly installments over the four-year period beginning on June 17, 2019, subject to the reporting person's continued service to the Issuer through each such vesting date. |
Remarks: |
/s/ Matthew J. D'Onofrio, Attorney-in-fact for David A. Gonyer | 06/19/2019 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |