Initial Statement of Beneficial Ownership (3)
06 Marzo 2023 - 3:30PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
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Brown Barry K. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/29/2022
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3. Issuer Name and Ticker or Trading Symbol
vTv Therapeutics Inc. [VTVT]
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(Last)
(First)
(Middle)
C/O VTV THERAPEUTICS INC., 3980 PREMIER DRIVE, SUITE 310 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
Chief Accounting Officer / |
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(Street)
HIGH POINT, NC 27265
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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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) |
| Class A common stock | 100 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: 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 |
| Employee stock option (right to buy) | (1) | 9/9/2025 | Class A common stock | 10000 | $9.22 | D | |
| Employee stock option (right to buy) | (2) | 3/10/2027 | Class A common stock | 9149 | $5.81 | D | |
| Employee stock option (right to buy) | (3) | 3/7/2029 | Class A common stock | 10000 | $2.18 | D | |
| Employee stock option (right to buy) | (4) | 12/7/2030 | Class A common stock | 20000 | $2.07 | D | |
| Employee stock option (right to buy) | (5) | 2/17/2032 | Class A common stock | 200000 | $0.71 | D | |
| Explanation of Responses: |
| (1) | Vests in equal annual installments over the three-year period beginning on September 9, 2015, subject to continued employment. |
| (2) | Vests in equal annual installments over the three-year period beginning on March 10, 2017, subject to continued employment. |
| (3) | Vests in equal annual installments over the three-year period beginning on March 7, 2019, subject to continued employment. |
| (4) | Vests in equal annual installments over the three-year period beginning on December 7, 2020, subject to continued employment. |
| (5) | Vests in equal annual installments over the three-year period beginning on February 17, 2022, subject to continued employment. |
Remarks:
Exhibit 24: Power of Attorney |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Brown Barry K.
C/O VTV THERAPEUTICS INC.
3980 PREMIER DRIVE, SUITE 310
HIGH POINT, NC 27265 |
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| Chief Accounting Officer |
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Signatures
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| /s/ Elizabeth Keiley, as attorney-in-fact for Barry Brown | | 3/6/2023 |
| **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 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 control number. |
vTv Therapeutics (NASDAQ:VTVT)
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