SEC Form 5 · accession 0000914190-15-000082

Arno Therapeutics, Inc · ARNI

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

Reporting owner

Arie Belldegrun

Director

Period of report

Dec 31, 2014

Accepted (ET)

Feb 17, 2015 · 4:23 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	holding	—	—	—	3,115	D
Common Stock^F1	holding	—	—	—	143,809	I	Leumi Overseas Trust Corp. Ltd as TTEE of the BTL Trust
Common Stock^F2	holding	—	—	—	254,887	I	Leumi Overseas Trust Corp. Ltd. as TTEE of the Tampere Trust
Common Stock^F3	holding	—	—	—	379,294	I	Belldegrun Family Trust
Common Stock^F4	holding	—	—	—	174,644	I	MDRB Partnership, L.P.
Common Stock^F5	holding	—	—	—	100,481	I	Arie S. Belldegrun, M.D. Inc. Profit Sharing Plan

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
2013 Series E Warrants (right to buy)^F1	$2.40	Oct 28, 2014	D	104,166	D	Oct 29, 2013	Oct 31, 2014	Common Stock	104,166	0	I
2013 Series E Warrants (right to buy)^F1	$2.40	Oct 28, 2014	A	104,166	A	Oct 29, 2013	Jan 31, 2015	Common Stock	104,166	104,166	I
2012 Series B Warrants (right to buy)^F2	$2.40	Oct 28, 2014	D	125,000	D	Oct 29, 2013	Oct 31, 2014	Common Stock	125,000	0	I
2012 Series B Warrants (right to buy)^F1	$2.40	Oct 28, 2014	A	125,000	A	Oct 29, 2013	Jan 31, 2015	Common Stock	125,000	125,000	I
2013 Series E Warrants (right to buy)^F2	$2.40	Oct 28, 2014	D	104,166	D	Oct 29, 2013	Oct 31, 2014	Common Stock	104,166	0	I
2013 Series E Warrants (right to buy)^F2	$2.40	Oct 28, 2014	A	104,166	A	Oct 29, 2013	Jan 31, 2015	Common Stock	104,166	104,166	I
2012 Series B Warrants (right to buy)^F3	$2.40	Oct 28, 2014	D	145,833	D	Oct 29, 2013	Oct 31, 2014	Common Stock	145,833	0	I
2012 Series B Warrants (right to buy)^F3	$2.40	Oct 28, 2014	A	145,833	A	Oct 29, 2013	Jan 31, 2015	Common Stock	145,833	145,833	I
2013 Series E Warrants (right to buy)^F3	$2.40	Oct 28, 2014	D	187,500	D	Oct 29, 2013	Oct 31, 2014	Common Stock	187,500	0	I
2013 Series E Warrants (right to buy)^F3	$2.40	Oct 28, 2014	A	187,500	A	Oct 29, 2013	Jan 31, 2015	Common Stock	187,500	187,500	I
2012 Series B Warrants (right to buy)^F4	$2.40	Oct 28, 2014	D	62,500	D	Oct 29, 2013	Oct 31, 2014	Common Stock	62,500	0	I
2012 Series B Warrants (right to buy)^F4	$2.40	Oct 28, 2014	A	62,500	A	Oct 29, 2013	Jan 31, 2015	Common Stock	62,500	62,500	I
2013 Series E Warrants (right to buy)^F4	$2.40	Oct 28, 2014	D	83,333	D	Oct 29, 2013	Oct 31, 2014	Common Stock	83,333	0	I
2013 Series E Warrants (right to buy)^F4	$2.40	Oct 28, 2014	A	83,333	A	Oct 29, 2013	Jan 31, 2015	Common Stock	83,333	83,333	I
2012 Series B Warrants (right to buy)^F5	$2.40	Oct 28, 2014	D	83,333	D	Oct 29, 2013	Oct 31, 2014	Common Stock	83,333	0	I
2012 Series B Warrants (right to buy)^F5	$2.40	Oct 28, 2014	A	83,333	A	Oct 29, 2013	Jan 31, 2015	Common Stock	83,333	83,333	I

Explanation of responses

F1Although the Reporting Person is not a trustee of the BTL Trust, the Reporting Person is a beneficiary of the BTL Trust, and as such may be deemed to be the beneficial owner of the securities owned by the BTL Trust. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
F2Although the Reporting Person is not a trustee of the Tampere Trust, the Reporting Person is a beneficiary of the Tampere Trust, and as such may be deemed to be the beneficial owner of the securities owned by the Tampere Trust. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
F3The Reporting Person is the trustee of the family trust that owns the securities. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
F4The Reporting Person is the managing partner of the limited partnership that owns the securities. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
F5The Reporting Person is the trustee of the profit sharing plan that owns the securities.
F6The 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.