SEC Form 4 · accession 0000914190-16-000617

Arno Therapeutics, Inc · ARNI

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

Reporting owner

Arie Belldegrun

Director

Period of report

Apr 7, 2016

Accepted (ET)

Apr 11, 2016 · 4:23 pm EDT

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	—	—	—	1,548,543	I	Arie S. Belldegrun, M.D. Inc. Profit Sharing Plan
Common Stock^F2	holding	—	—	—	858,094	I	Leumi Overseas Trust Corp. Ltd. as TTEE of the BTL Trust
Common Stock^F3	holding	—	—	—	254,887	I	Leumi Overseas Trust Corp. Ltd. as TTEE of the Tampere Trust
Common Stock^F4	holding	—	—	—	379,294	I	Belldegrun Family Trust
Common Stock^F5	holding	—	—	—	174,644	I	MDRB Partnership, L.P.

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)^F8	$0.37	Apr 7, 2016	A	177,256	A	—	Apr 7, 2026	Common Stock	177,256	177,256	D
2012 Series A Warrants (right to buy)^F1	$1.36	holding	—	—	—	Nov 26, 2012	Nov 26, 2017	Common Stock	245,096	245,096	I
2013 Series D Warrants (right to buy)^F2	$2.14	holding	—	—	—	Oct 29, 2013	Oct 29, 2018	Common Stock	194,702	194,702	I
2012 Series A Warrants (right to buy)^F3	$1.36	holding	—	—	—	Nov 26, 2012	Nov 26, 2017	Common Stock	367,646	367,646	I
2013 Series D Warrants (right to buy)^F3	$2.14	holding	—	—	—	Oct 29, 2013	Oct 29, 2018	Common Stock	194,702	194,702	I
2012 Series A Warrants (right to buy)^F4	$1.36	holding	—	—	—	Nov 26, 2012	Nov 26, 2017	Common Stock	428,920	428,920	I
2013 Series D Warrants (right to buy)^F4	$2.14	holding	—	—	—	Oct 29, 2013	Oct 29, 2018	Common Stock	350,467	350,467	I
2012 Series A Warrants (right to buy)^F5	$1.36	holding	—	—	—	Nov 26, 2012	Nov 26, 2017	Common Stock	183,822	183,822	I
2013 Series D Warrants (right to buy)^F5	$2.14	holding	—	—	—	Oct 29, 2013	Oct 29, 2018	Common Stock	155,762	155,762	I
Stock Option (right to buy)^F6	$19.36	holding	—	—	—	—	Mar 31, 2018	Common Stock	24,922	24,922	D
Stock Option (right to buy)^F6	$8.00	holding	—	—	—	—	Sep 29, 2019	Common Stock	1,250	1,250	D
Stock Option (right to buy)^F6	$8.00	holding	—	—	—	—	Sep 9, 2020	Common Stock	37,500	37,500	D
Stock Option (right to buy)^F6	$8.00	holding	—	—	—	—	Nov 5, 2020	Common Stock	1,250	1,250	D
Stock Option (right to buy)^F7	$2.40	holding	—	—	—	—	Nov 4, 2023	Common Stock	3,559,296	3,559,296	D
Stock Option (right to buy)^F6	$2.90	holding	—	—	—	—	Jan 24, 2024	Common Stock	68,448	68,448	D

Explanation of responses

F1The Reporting Person is the trustee of the profit sharing plan that owns the securities.
F2Although 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.
F3Although 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.
F4The 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.
F5The 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.
F6Currently exercisable.
F7Vests in equal 36-monthly installments commencing 12/4/13.
F8Vests in equal 12-monthly installments commencing 5/7/16.