SEC Form 5 · accession 0000914190-15-000078

Arno Therapeutics, Inc · ARNI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Dec 31, 2014

Accepted (ET)

Feb 17, 2015 · 4:21 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001195116

Table I — non-derivative securities

Security	Date	Code	Shares	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	holding	—	—	—	639,459	I	By Pontifax (Cayman) II L.P.
Common Stock^F1	holding	—	—	—	481,680	I	By Pontifax (Israel) II L.P.
Common stock^F1	holding	—	—	—	186,982	I	By Pontifax (Israel) II - Individual Investors L.P.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
2012 Series B Warrants (right to buy)^F1	$2.40	Oct 28, 2014	D	203,682	D	Oct 29, 2013	Oct 31, 2014	Common Stock	203,682	0	I
2012 Series B Warrants (right to buy)^F1	$2.40	Oct 28, 2014	A	203,682	A	Oct 29, 2013	Jan 31, 2015	Common Stock	203,682	203,682	I
2013 Series E Warrants (right to buy)^F1	$2.40	Oct 28, 2014	D	203,682	D	Oct 29, 2013	Oct 31, 2014	Common Stock	203,682	0	I
2013 Series E Warrants (right to buy)^F1	$2.40	Oct 28, 2014	A	203,682	A	Oct 29, 2013	Jan 31, 2015	Common Stock	203,682	203,682	I
2012 Series B Warrants (right to buy)^F1	$2.40	Oct 28, 2014	D	153,426	D	Oct 29, 2013	Oct 31, 2014	Common Stock	153,426	0	I
2012 Series B Warrants (right to buy)^F1	$2.40	Oct 28, 2014	A	153,426	A	Oct 29, 2013	Jan 31, 2015	Common Stock	153,426	153,426	I
2013 Series E Warrants (right to buy)^F1	$2.40	Oct 28, 2014	D	153,426	D	Oct 29, 2013	Oct 31, 2014	Common stock	153,426	0	I
2013 Series E Warrants (right to buy)^F1	$2.40	Oct 28, 2014	A	153,426	A	Oct 29, 2013	Jan 31, 2015	Common Stock	153,426	153,426	I
2012 Series B Warrants (right to buy)^F1	$2.40	Oct 28, 2014	D	59,558	D	Oct 29, 2013	Oct 31, 2014	Common Stock	59,558	0	I
2012 Series B Warrants (right to buy)^F1	$2.40	Oct 28, 2014	A	59,558	A	Oct 29, 2013	Jan 31, 2015	Common Stock	59,558	59,558	I
2013 Series E Warrants (right to buy)^F1	$2.40	Oct 28, 2014	D	59,558	D	Oct 29, 2013	Oct 31, 2014	Common Stock	59,558	0	I
2013 Series E Warrants (right to buy)^F1	$2.40	Oct 28, 2014	A	59,558	A	Oct 29, 2013	Jan 31, 2015	Common Stock	59,558	59,558	I

F1The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
F2The two reported transactions resulted from the Issuer's unilateral extension of the expiration date of two outstanding warrants from 10/31/14 to 1/31/15. Such extension resulted in the deemed cancellation of the "originally" issued old warrant and the issuance of a replacement warrant. The Series B warrant was originally granted on 11/26/12 and the Series E warrant was originally granted on 10/29/13.