SEC Form 3 · accession 0001661422-15-000001
ARENA PHARMACEUTICALS INC · ARNA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Maurice James Mezzino
Officer — SVP, Corporate Development
Period of report
Dec 16, 2015
Accepted (ET)
Dec 18, 2015 · 5:58 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001080709
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 8,763 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F1 | $1.48 | holding | — | — | — | — | Sep 15, 2021 | Common Stock | 61,220 | — | D |
| Employee Stock Option (right to buy)F2 | $1.48 | holding | — | — | — | — | Oct 3, 2021 | Common Stock | 9,780 | — | D |
| Employee Stock Option (right to buy)F3 | $1.81 | holding | — | — | — | — | Mar 19, 2022 | Common Stock | 75,000 | — | D |
| Employee Stock Option (right to buy)F4 | $8.54 | holding | — | — | — | — | Mar 5, 2020 | Common Stock | 45,000 | — | D |
| Employee Stock Option (right to buy)F5 | $6.80 | holding | — | — | — | — | Mar 3, 2021 | Common Stock | 60,000 | — | D |
| Employee Stock Option (right to buy)F6 | $4.47 | holding | — | — | — | — | Mar 11, 2022 | Common Stock | 75,000 | — | D |
Explanation of responses
- F1The options originally for a total of 65,220 shares vested and became exercisable in four equal annual installments beginning on September 15, 2012.
- F2The options vested and became exercisable in four equal annual installments beginning on September 15, 2012.
- F3The options vest in four equal annual installments, and are exercisable once vested. The first installment became exercisable on March 19, 2013, the second installment became exercisable on March 19, 2014, the third installment became exercisable on March 19, 2015, and the fourth installment vests on March 19, 2016.
- F4The options vest in four equal annual installments, and are exercisable once vested. The first installment became exercisable on March 5, 2014, the second installment became exercisable on March 5, 2015, the third installment vests on March 5, 2016, and the fourth installment vests on March 5, 2017.
- F5The options vest in four equal annual installments, and are exercisable once vested. The first installment became exercisable on March 3, 2015, the second installment vests on March 3, 2016, the third installment vests on March 3, 2017, and the fourth installment vests on March 3, 2018.
- F6The options vest in four equal annual installments beginning on March 11, 2016, and are exercisable once vested.