Statement of Changes in Beneficial Ownership (4)
11 February 2015 - 6:54AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Wald Graeme
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2. Issuer Name
and
Ticker or Trading Symbol
Nexvet Biopharma plc
[
NVET
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
C/O NEXVET BIOPHARMA PLC, NATL INST, FOSTERS AVENUE, MOUNT MERRION
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3. Date of Earliest Transaction
(MM/DD/YYYY)
2/10/2015
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(Street)
BLACKROCK, L2 00000
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Ordinary Shares
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2/10/2015
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C
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6176
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A
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(1)
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6176
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I
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By Wald Funds Pty Ltd <Wald Funds Unit A/C>
(2)
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Ordinary Shares
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2/10/2015
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C
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7548
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A
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(1)
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7548
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I
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By JanCutz Pty Ltd <Emuna Superannuation Fund A/C>
(2)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Series B Preference Shares
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(1)
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2/10/2015
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C
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6176
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(1)
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(1)
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Ordinary Shares
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6176
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(1)
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0
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I
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By Wald Funds Pty Ltd <Wald Funds Unit A/C>
(2)
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Series B Preference Shares
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(1)
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2/10/2015
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C
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7548
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(1)
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(1)
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Ordinary Shares
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7548
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(1)
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0
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I
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By JanCutz Pty Ltd <Emuna Superannuation Fund A/C>
(2)
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Explanation of Responses:
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(
1)
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Reflects automatic conversion of Series B Preference Shares into ordinary shares on a one-for-one basis upon the completion of the initial public offering of Issuer's ordinary shares.
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(
2)
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The reporting person has sole voting and dispositive power with respect to these reported securities. The reporting person disclaims beneficial ownership of these reported securities except to the extent of his pecuniary interest therein.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Wald Graeme
C/O NEXVET BIOPHARMA PLC
NATL INST, FOSTERS AVENUE, MOUNT MERRION
BLACKROCK, L2 00000
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X
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Signatures
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/s/ Graeme Wald by Damian Lismore, Attorney-in-Fact
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2/10/2015
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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