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
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1. Name and Address of Reporting Person*
Tovey Christopher J.

(Last) (First) (Middle)
SOVEREIGN HOUSE, VISION PARK, HISTON

(Street)
CAMBRIDGE X0 CB24 9BZ

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
10/01/2018
3. Issuer Name and Ticker or Trading Symbol
GW PHARMACEUTICALS PLC [ GWPH ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Operating Officer
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)
Ordinary Shares(1) 2,503 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
Stock Options(2) 06/24/2019 06/24/2025 Ordinary Shares 3,930 0.0013(3) D
Stock Options(2) 06/24/2018 06/24/2025 Ordinary Shares 7 0.0013(3) D
Stock Options(2) 06/24/2018 06/24/2025 Ordinary Shares 27,924 8.7364(3) D
Stock Options(2) 02/15/2019 02/15/2026 Ordinary Shares 10,457 0.0013(3) D
Stock Options(2) 02/15/2020 02/15/2026 Ordinary Shares 10,457 0.0013(3) D
Stock Options(2) 02/15/2019 02/15/2026 Ordinary Shares 139,420 0.0013(3) D
Stock Options(2) 02/15/2019 02/15/2026 Ordinary Shares 73,508 3.3461(3) D
Stock Options(2) 01/06/2019 01/06/2027 Ordinary Shares 6,468 0.0013(3) D
Stock Options(2) 01/06/2020 01/06/2027 Ordinary Shares 6,468 0.0013(3) D
Stock Options(2) 01/06/2021 01/06/2027 Ordinary Shares 6,468 0.0013(3) D
Stock Options(2) 01/06/2020 01/06/2027 Ordinary Shares 86,244 0.0013(3) D
Stock Options(2)(4) 01/06/2020 01/06/2027 Ordinary Shares 52,560 9.8117 D
Stock Options(2) 02/26/2019 02/26/2028 Ordinary Shares 8,952 0.0013(3) D
Stock Options(2) 02/26/2020 02/26/2028 Ordinary Shares 8,952 0.0013(3) D
Stock Options(2) 02/26/2021 02/26/2028 Ordinary Shares 8,952 0.0013(3) D
Stock Options(2) 02/26/2022 02/26/2028 Ordinary Shares 8,952 0.0013(3) D
Stock Options(2) 02/26/2021 02/26/2028 Ordinary Shares 119,340 0.0013(3) D
Stock Options(2)(4) 02/26/2021 02/26/2028 Ordinary Shares 58,884 9.6092 D
Explanation of Responses:
1. 2,496 of these ordinary shares are represented by American Depositary Shares of the Issuer ("ADS"). Each ADS represents twelve ordinary shares of the Issuer.
2. Granted pursuant to the Issuer's Long-Term Incentive Plan.
3. Converted from British Pounds Sterling to U.S. Dollars using currency ratio of 1.00 British Pound Sterling = 1.302 U.S. Dollars as of September 28, 2018.
4. The reported options are options to purchase ADSs.
Remarks:
/s/ Christopher J. Tovey 10/01/2018
** 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.

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