SEC Form 4 · accession 0000914190-16-000614
Arno Therapeutics, Inc · ARNI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stefan Proniuk
Officer — Chief Development Officer
Period of report
Apr 7, 2016
Accepted (ET)
Apr 11, 2016 · 4:22 pm EDT
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 | — | — | — | 10,047 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F4 | $0.37 | Apr 7, 2016 | A | 554,685 | A | — | Apr 7, 2026 | Common Stock | 554,685 | 554,685 | D |
| Stock Option (right to buy)F1 | $2.40 | holding | — | — | — | — | Jun 20, 2021 | Common Stock | 17,187 | 17,187 | D |
| Stock Option (right to buy)F1 | $2.40 | holding | — | — | — | — | Jun 20, 2021 | Common Stock | 7,191 | 7,191 | D |
| Stock Option (right to buy)F1 | $2.40 | holding | — | — | — | — | Sep 19, 2021 | Common Stock | 10,000 | 10,000 | D |
| Stock Option (right to buy)F1 | $2.40 | holding | — | — | — | — | Jan 14, 2023 | Common Stock | 6,875 | 6,875 | D |
| Stock Option (right to buy)F1 | $2.40 | holding | — | — | — | — | Jan 14, 2023 | Common Stock | 2,291 | 2,291 | D |
| Stock Option (right to buy)F2 | $2.40 | holding | — | — | — | — | Nov 4, 2023 | Common Stock | 45,701 | 45,701 | D |
| Stock Option (right to buy)F3 | $2.90 | holding | — | — | — | — | Jan 24, 2024 | Common Stock | 171,877 | 171,877 | D |
| 2012 Series A Warrants (right to buy)F5 | $1.36 | holding | — | — | — | Nov 26, 2012 | Nov 26, 2017 | Common Stock | 24,508 | 24,508 | D |
Explanation of responses
- F1Currently exercisable.
- F2Vests in equal 36-monthly installments commencing 12/4/13.
- F3Vests 25% on first anniversary date and thereafter will vest in 24 equal monthly installments.
- F4Vests one-third on the first anniversary of grant and thereafter in 24 equal monthly installments.
- F5As a result of the Issuer's 1/12/16 private placement of common stock at $0.35/share, the exercise price and number of shares subject to the 2012 Series A Warrants were automatically adjusted to the exercise price and shares reflected, pursuant to anti-dilution adjustment provisions.