SEC Form 5 · accession 0000914190-15-000080
Arno Therapeutics, Inc · ARNI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alexander A Zukiwski
Officer — VP & Chief Medical Officer
Period of report
Dec 31, 2014
Accepted (ET)
Feb 17, 2015 · 4:22 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001195116
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 117,026 | D |
Table II — derivative securities
| 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) | $2.40 | Oct 28, 2014 | D | 62,500 | D | Oct 29, 2013 | Oct 31, 2014 | Common Stock | 62,500 | 0 | D |
| 2012 Series B Warrants (right to buy) | $2.40 | Oct 28, 2014 | A | 62,500 | A | Oct 29, 2013 | Jan 31, 2015 | Common Stock | 62,500 | 62,500 | D |
| 2013 Series E Warrants (right to buy) | $2.40 | Oct 28, 2014 | D | 41,666 | D | Oct 29, 2013 | Oct 31, 2014 | Common Stock | 41,666 | 0 | D |
| 2013 Series E Warrants (right to buy) | $2.40 | Oct 28, 2014 | A | 41,666 | A | Oct 29, 2013 | Jan 31, 2015 | Common Stock | 41,666 | 41,666 | D |
Explanation of responses
- F1The 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.