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PROVENTION BIO, INC.
Date Filed :
Apr 28, 2023
View Exhibits
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
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response:
0.5
X
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
*
Sessa Capital (Master), L.P.
(Last)
(First)
(Middle)
888 SEVENTH AVENUE, 30TH FLOOR
(Street)
NEW YORK
NY
10019
(City)
(State)
(Zip)
2. Issuer Name
and
Ticker or Trading Symbol
Provention Bio, Inc.
[
PRVB
]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director
X
10% Owner
Officer (give title below)
Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
04/27/2023
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
Rule 10b5-1(c) Transaction Indication
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
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
04/27/2023
U
(1)
15,567,497
D
(1)
0
D
(2)
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
*
Sessa Capital (Master), L.P.
(Last)
(First)
(Middle)
888 SEVENTH AVENUE, 30TH FLOOR
(Street)
NEW YORK
NY
10019
(City)
(State)
(Zip)
1. Name and Address of Reporting Person
*
Sessa Capital GP, LLC
(Last)
(First)
(Middle)
888 SEVENTH AVENUE, 30TH FLOOR
(Street)
NEW YORK
NY
10019
(City)
(State)
(Zip)
1. Name and Address of Reporting Person
*
Sessa Capital IM, L.P.
(Last)
(First)
(Middle)
888 SEVENTH AVENUE, 30TH FLOOR
(Street)
NEW YORK
NY
10019
(City)
(State)
(Zip)
1. Name and Address of Reporting Person
*
Sessa Capital IM GP, LLC
(Last)
(First)
(Middle)
888 SEVENTH AVENUE, 30TH FLOOR
(Street)
NEW YORK
NY
10019
(City)
(State)
(Zip)
1. Name and Address of Reporting Person
*
Petry John
(Last)
(First)
(Middle)
888 SEVENTH AVENUE, 30TH FLOOR
(Street)
NEW YORK
NY
10019
(City)
(State)
(Zip)
Explanation of Responses:
1. Reflects the disposition of Issuer common stock pursuant to an Agreement and Plan of Merger dated March 12, 2023, in which Zest Acquisition Sub, Inc. ("Purchaser"), an indirect wholly-owned subsidiary of Sanofi S.A., commenced a tender offer on March 24, 2023 (the "Offer") to purchase all of the issued and outstanding shares (the "Shares") of common stock, par value $0.0001 per share, of the Issuer at a price of $25.00 per Share in cash. The Issuer has reported that, as of the expiration of the Offer at one minute after 11:59 p.m., Eastern Time, on April 26, 2023, 74,490,556 Shares had been validly tendered and not validly withdrawn pursuant to the Offer. On April 27, 2023, Purchaser irrevocably accepted for payment all Shares that were validly tendered and not validly withdrawn. The Issuer further reported that on April 27, 2023, following consummation of the Offer, Purchaser merged with and into the Issuer, with the Issuer as the surviving corporation.
2. These securities of the Issuer are beneficially owned by (i) Sessa Capital (Master), L.P. (the "Fund"), as a result of direct beneficial ownership of the securities, (ii) Sessa Capital GP, LLC, indirectly as a result of being the sole general partner of the Fund, (iii) Sessa Capital IM, L.P., indirectly as a result of being the investment adviser for the Fund, (iv) Sessa Capital IM GP, LLC, indirectly as a result of being the sole general partner of Sessa Capital IM, L.P., and (v) John Petry, indirectly as a result of being the manager of Sessa Capital GP, LLC and Sessa Capital IM GP, LLC. Each of the Reporting Persons and Mr. Petry disclaim beneficial ownership of any securities reported by any person except to the extent of their pecuniary interest therein.
/s/ John Petry, for Sessa Capital (Master), L.P., By: Sessa Capital GP, LLC, its general partner, By: John Petry, as manager
04/28/2023
/s/ John Petry, for Sessa Capital GP, LLC, By: John Petry, as manager
04/28/2023
/s/ John Petry, for Sessa Capital IM, L.P., By: Sessa Capital IM GP, LLC, its general partner, By: John Petry, as manager
04/28/2023
/s/ John Petry, for Sessa Capital IM GP, LLC, By: John Petry, as manager
04/28/2023
/s/ John Petry
04/28/2023
** 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.
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