# EDGAR Filing Document

**Accession Number:** 0001695357
**File Stem:** 0001493152-23-000614
**Filing Date:** 2023-1
**Character Count:** 10030
**Document Hash:** f3ee2f0d4fed3cbfcaa7bca2965df8a5
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-23-000614.hdr.sgml**: 20230105

**ACCESSION NUMBER**: 0001493152-23-000614

**CONFORMED SUBMISSION TYPE**: 3

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20230103

**FILED AS OF DATE**: 20230105

**DATE AS OF CHANGE**: 20230105

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Vogel Justin
- **CENTRAL INDEX KEY:** 0001590582

**FILING VALUES:**
- **FORM TYPE:** 3
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38552
- **FILM NUMBER:** 23511679

**MAIL ADDRESS:**
- **STREET 1:** C/O PROVENTION BIO, INC.
- **STREET 2:** 55 BROAD STREET
- **CITY:** RED BANK
- **STATE:** NJ
- **ZIP:** 07701
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Provention Bio, Inc.
- **CENTRAL INDEX KEY:** 0001695357
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 55 BROAD STREET, 2ND FLOOR
- **CITY:** RED BANK
- **STATE:** NJ
- **ZIP:** 07701
- **BUSINESS PHONE:** 908-428-9136

**MAIL ADDRESS:**
- **STREET 1:** 55 BROAD STREET, 2ND FLOOR
- **CITY:** RED BANK
- **STATE:** NJ
- **ZIP:** 07701

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Provention Inc.
- **DATE OF NAME CHANGE:** 20170120

## Exhibit 24.1

**Exhibit 24.1**

**POWER OF ATTORNEY**

The undersigned hereby constitutes and appoints Heidy King-Jones and Thierry Chauche, and each of them singly, with full power of substitution, as the undersigned's true and lawful attorney-in-fact to:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(1) execute
 for and on behalf of the undersigned, in the undersigned's capacity as officer and/or
 director of Provention Bio, Inc. (the "Company"), Forms 3, 4, and 5 in accordance
 with Section 16(a) of the Securities Exchange Act of 1934, as amended, and the rules
 thereunder;

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(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 Form 3, 4, or 5, complete and execute any
 amendment or amendments thereto, and timely file such form with the U.S. Securities and Exchange
 Commission and any stock exchange or similar authority; and

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(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
 by, the undersigned, it being understood that the documents executed by such 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 such attorney-in-fact may approve in such attorney-in-fact's
 discretion.

The undersigned hereby grants to such attorneys-in-fact full power and authority to do and perform any 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 such attorneys-in-fact, or such attorneys-in-fact's substitute or substitutes, 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 attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 16 of the Securities Exchange Act of 1934, as amended.

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 attorneys-in-fact.

<br> [*Remainder of page intentionally left blank*]

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 4<sup>th</sup> day of January 2023.

---

| |
|:---|
| */s/: Justin Vogel* |
| Justin Vogel |

---

[Signature Page to Limited Power of Attorney]

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 3

### INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

[ ] 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**<sup>*</sup><br>Vogel Justin<br><sub>(Last) (First) (Middle)</sub><br>C/O PROVENTION BIO, INC.<br>55 BROAD STREET, 2ND FLOOR<br><sub>(Street)</sub><br>RED BANK, NJ 07701<br><sub>(City) (State) (Zip)</sub> | **3. Issuer Name and Ticker or Trading Symbol**<br>Provention Bio, Inc. [ PRVB ] | **5. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  |
| **2. Date of Event Requiring Statement (Month/Day/Year)**<br>2023-01-03 | **4. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director   [ ] 10% Owner<br>[X] Officer (give title below)   [ ] Other (specify below)<br>_Chief Accounting Officer_ | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities Beneficially Owned

---

|  |  |  |  |
| --- | --- | --- | --- |
| 1. Title of Security | 2. Amount of Securities Beneficially Owned | 3. Ownership Form | 4. Nature of Indirect Beneficial Ownership |

---

## Table II - Derivative Securities Beneficially Owned

---

|  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Underlying Securities | 3. Title and Amount of Underlying Securities | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 4. Conversion or Exercise Price | 5. Ownership Form | 6. Nature of Indirect Beneficial Ownership |
| Stock Option (right to buy) | <sup>(1)</sup> | 2028-07-19 | Common Stock | 88185 | $4.00 | D |  |
| Stock Option (right to buy) | <sup>(2)</sup> | 2029-06-24 | Common Stock | 45000 | $12.54 | D |  |
| Stock Option (right to buy) | <sup>(3)</sup> | 2030-07-15 | Common Stock | 60000 | $12.62 | D |  |
| Stock Option (right to buy) | <sup>(4)</sup> | 2031-05-12 | Common Stock | 66000 | $6.80 | D |  |
| Stock Option (right to buy) | <sup>(5)</sup> | 2032-01-18 | Common Stock | 70000 | $4.39 | D |  |

---

### Footnotes:

(1) On July 19, 2018, the Reporting Person was granted a stock option for 103,185 shares of Common Stock, 41,274 of which vested in four equal annual installments commencing on June 1, 2019, and 61,911 of which were granted with performance-based vesting triggers, which have all vested based on the satisfaction of certain performance milestones. In December 2019, the Reporting Person exercised 15,000 of the shares and sold them on a cashless basis. The stock options were granted pursuant to the Issuer's 2017 Equity Incentive Plan.

(2) On June 24, 2019, the Reporting Person was granted a stock option for 45,000 shares of Common Stock which will vest as follows: 25% vested and became exercisable on June 24, 2020, and 75% will vest and become exercisable monthly over 36 months such that these options will be fully vested and exercisable on June 24, 2023. The stock options were granted pursuant to the Issuer's 2017 Equity Incentive Plan.

(3) On July 15, 2020, the Reporting Person was granted a stock option for 60,000 shares of Common Stock which will vest as follows: 25% vested and became exercisable on July 15, 2021, and 75% will vest and become exercisable monthly over 36 months such that these options will be fully vested and exercisable on July 15, 2024. The stock options were granted pursuant to the Issuer's 2017 Equity Incentive Plan.

(4) On May 12, 2021, the Reporting Person was granted a stock option for 66,000 shares of Common Stock which will vest as follows: 25% vested and became exercisable on May 12, 2022, and 75% will vest and become exercisable monthly over 36 months such that these options will be fully vested and exercisable on May 12, 2025. The stock options were granted pursuant to the Issuer's 2017 Equity Incentive Plan.

(5) On January 18, 2022, the Reporting Person was granted a stock option for 70,000 shares of Common Stock which will vest as follows: 25% will vest and become exercisable on January 18, 2023, and 75% will vest and become exercisable monthly over 36 months such that these options will be fully vested and exercisable on January 18, 2026. The stock options were granted pursuant to the Issuer's 2017 Equity Incentive Plan.

**Remarks:**
Exhibit 24.1 - Power of Attorney

**Signature:** /s/ Thierry Chauche, as attorney-in-fact  
**Date:** 2023-01-05

### Remarks:

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.**