SEC FORM
3
SEC Form 3
FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
OMB APPROVAL |
OMB Number: |
3235-0104 |
Estimated average burden |
hours per response: |
0.5 |
|
|
1. Name and Address of Reporting Person*
C/O MEDICINOVA, INC. |
4275 EXECUTIVE SQUARE, SUITE 650 |
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year) 10/15/2013
|
3. Issuer Name and Ticker or Trading Symbol
MEDICINOVA INC
[ MNOV ]
|
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
Director |
|
10% Owner |
X |
Officer (give title below) |
|
Other (specify below) |
Vice President |
|
5. If Amendment, Date of Original Filed
(Month/Day/Year)
|
6. Individual or Joint/Group Filing (Check Applicable Line)
X |
Form filed by One Reporting Person |
|
Form filed by More than One Reporting Person |
|
Table I - Non-Derivative Securities Beneficially Owned |
1. Title of Security (Instr.
4)
|
2.
Amount of Securities Beneficially Owned (Instr.
4)
|
3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
4. Nature of Indirect Beneficial Ownership (Instr.
5)
|
Common Stock |
5,000 |
D |
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivative Security (Instr.
4)
|
2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
6. Nature of Indirect Beneficial Ownership (Instr.
5)
|
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Warrant (right to buy) |
03/29/2011 |
03/29/2016 |
Common Stock |
5,000 |
3.56 |
D |
|
Employee Stock Option (right to buy) |
|
07/06/2019 |
Common Stock |
25,000 |
4.8 |
D |
|
Employee Stock Option (right to buy) |
|
01/28/2020 |
Common Stock |
11,900 |
7.34 |
D |
|
Employee Stock Option (right to buy) |
|
07/12/2021 |
Common Stock |
32,000 |
2.54 |
D |
|
Employee Stock Option (right to buy) |
06/14/2012 |
08/02/2021 |
Common Stock |
26,250 |
2.46 |
D |
|
Employee Stock Option (right to buy) |
|
05/12/2023 |
Common Stock |
22,500 |
4.1 |
D |
|
Explanation of Responses: |
Remarks: |
|
/s/ Geoffrey O?Brien |
10/17/2013 |
|
** 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
5
(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. |
Power of Attorney
POWER OF ATTORNEY
For Executing Section 16 Forms, Form 144 and Schedules 13D or 13G
Know all by these presents that the undersigned hereby constitutes and
appoints Yui Iwaki as the undersigned's true and lawful attorney-in-fact to:
(1) execute for and on behalf of the undersigned, in the undersigned's
capacity as an officer and/or director of MediciNova, Inc.
(the "Company") (a) Forms 3, 4 and 5 in accordance with Section 16(a) of
the Securities Exchange Act of 1934 and the rules thereunder, (b) Form 144,
and (c) Schedule 13D or Schedule 13G (including amendments thereto); and
(2) do and perform any and all acts for and on behalf of the undersigned that
may be necessary or desirable to complete and execute any such Forms 3, 4
and 5, Form 144, and Schedule 13D or Schedule 13G (including amendments
thereto) and timely file such Forms or Schedules with the U.S. Securities
and Exchange Commission (the "SEC") and any stock exchange, self-regulatory
association or any other authority; and
(3) take any other action of any type whatsoever in connection with the
foregoing that, in the opinion of such attorney-in-fact, may be of benefit
to, in the best interest of, or legally required of the undersigned, it
being understood that the documents executed by the attorney-in-fact on
behalf of the undersigned pursuant to this Power of Attorney shall be in
such form and shall contain such terms and conditions as the
attorney-in-fact may approve in the attorney-in-fact's discretion.
The undersigned hereby grants to the attorney-in-fact full power and authority
to do and perform all and every act and thing whatsoever requisite, necessary or
proper to be done in the exercise of any of the rights and powers herein granted,
as fully to all intents and purposes as the undersigned might or could do if
personally present, with full power of substitution or revocation, hereby
ratifying and confirming all that the attorney-in-fact shall lawfully do or
cause to be done by virtue of this Power of Attorney and the rights and powers
herein granted. The undersigned acknowledges that the foregoing attorney-in-fact,
in serving in such capacity at the request of the undersigned, is not assuming any
of the undersigned's responsibilities to comply with Section 16 of the Securities
Exchange Act of 1934.
The undersigned agrees that such attorney-in-fact may rely entirely on
information furnished orally or in writing by the undersigned to the
attorney-in-fact. The undersigned also agrees to indemnify and hold harmless such
attorney-in-fact against any losses, claims, damages or liabilities
(or actions in these respects) that arise out of or are based upon any untrue
statements or omissions of necessary facts in the information provided by the
undersigned to such attorney-in fact for purposes of executing, acknowledging,
delivering or filing any such Forms 3, 4 and 5, Form 144 or Schedule 13D or
Schedule 13G (including amendments thereto) and agrees to reimburse the
attorney-in-fact on demand for any legal or other expenses reasonably incurred
in connection with investigating or defending against any such loss, claim, damage,
liability or action.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4 and 5 with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed writing delivered to the
foregoing attorney-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of the date written below.
Signature: /s/ Geoffrey O'Brien
Printed Name: Geoffrey O'Brien
Date: October 17, 2013