|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT 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 |
|
|
|||||||||||||||||||||||||||||||||||||||||||||||||
|
|||||||||||||||||||||||||||||||||||||||||||||||||
| 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) |
||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| LEVIN JEREMY M C/O OVID THERAPEUTICS INC. 441 NINTH AVENUE NEW YORK, NY 10001 |
X | CEO | ||
| /s/ Danielle Mann for Jeremy Levin PoA | 12/06/2023 | |
| **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) | The reporting executive has transferred shares to a family trust for the benefit of his children as part of generational estate planning. Thereporting executive has made these transfers for no consideration. The reporting executive does not serve as the trustee of the family trusts, nordoes he maintain investment control over, or have a pecuniary interest in, the shares. |
| (2) | This direct ownership total corrects an inadvertent administrative error in the number of shares of common stock that were reported as directly held on the Form 4 filed by the reporting executive on September 1, 2020. Before the transactions reported herein, the reporting executive held 4,745,017 shares of common stock directly |
| (3) | The reportable securities are owned directly by Divo Holdings, LLC ("Divo"). The reporting executive's spouse is the manager of Divo. Thereporting executive disclaims beneficial ownership of the shares held by Divo and this report shall not be deemed an admission of beneficialownership of such shares for the purposes of Section 16 or for any other purpose. |