SEC FORM 4 SEC Form 4
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
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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*
Manning Paul B

(Last) (First) (Middle)
200 GARRETT STREET, SUITE S

(Street)
CHARLOTTESVILLE VA 22902

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Dova Pharmaceuticals, Inc. [ DOVA ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
11/09/2017
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
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
Common Stock 11/09/2017 J(1) 12,214,953(1) D $0.00(1) 0 I By LLC(2)
Common Stock 11/09/2017 J(3) 12,214,953(3) A $0.00(3) 12,340,823 D(4)
Common Stock 1,783,226 I By LLC(5)
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
1. Name and Address of Reporting Person*
Manning Paul B

(Last) (First) (Middle)
200 GARRETT STREET, SUITE S

(Street)
CHARLOTTESVILLE VA 22902

(City) (State) (Zip)
1. Name and Address of Reporting Person*
PBM Capital Investments, LLC

(Last) (First) (Middle)
200 GARRETT STREET, SUITE S

(Street)
CHARLOTTESVILLE VA 22902

(City) (State) (Zip)
Explanation of Responses:
1. Represents the disposition of 12,214,953 shares of Common Stock held by PBM Capital Investments, LLC ("PBM") in a distribution to Paul Manning ("Manning") for no consideration.
2. Prior to the distribution these shares were held by PBM. Manning had the sole voting and investment power with respect to the shares held by PBM.
3. Represents the receipt by Manning of 12,214,953 shares of Common Stock from PBM in a distribution for no consideration.
4. Consists of (i) 12,214,953 shares held directly by Manning, and (ii) 125,870 shares held by Manning together with his spouse as Joint Tenants with Right of Survivorship. The shares distributed to Manning will remain subject to a lock-up agreement for a period of 180 days following June 28, 2017, as required pursuant to a lock-up agreement PBM entered into with the underwriters in connection with the Issuer's initial public offering.
5. These shares are held by BKB Growth Investments, LLC ("BKB"). Manning is a co-manager of BKB and, as such, has unilateral voting and investment power with respect to the shares held by BKB. Manning disclaims beneficial ownership of the shares held by BKB except to the extent of his pecuniary interest therein, and the inclusion of the securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.
Remarks:
Following the reported transaction herein, PBM Capital Investments, LLC is no longer subject to Section 16. However, Mr. Manning continues to be a Section 16 Reporting Person.
/s/Jason Saxe, Attorney-in-Fact 11/13/2017
/s/Jason Saxe, Attorney-in-Fact 11/13/2017
** 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).
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