SEC Form 3/A · accession 0000914190-16-000823
Arno Therapeutics, Inc · ARNI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 3/A). It replaces an earlier filing for the same period.
Reporting owners
S Donald Sussman
10% Owner · Other
Steven B Ruchefsky
Director · 10% Owner · Other
Commercial Street Capital, LLC
10% Owner · Other
Period of report
Jan 25, 2013
Accepted (ET)
Sep 8, 2016 · 4:02 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 StockF1,F2,F3,F4 | holding | — | — | — | 280,763 | I | By Commercial Street Capital, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This amendment is being filed to include additional reporting persons and to reflect Steven B. Ruchefsky ("Ruchefsky") as a 10% owner. The reporting persons have re-reported the securities held in Table I to gain access to the EDGAR filing system and the Amount of Securities Beneficially Owned has been adjusted to reflect a 1-for-8 combination of the Issuer's common stock completed on 10/29/13.
- F2This form is being filed to amend the Form 3 originally filed by Ruchefsky on February 12, 2013, to include Commercial Street Capital LLC ("CSC") and S. Donald Sussman ("Sussman") as additional reporting persons. This form is also intended to amend Form 4 statements filed by Ruchefsky on each of 4/9/13, 5/7/13, 6/4/13, 10/31/13, 11/6/13, 1/28/14, 11/6/14, 11/6/15, 1/14/16 and 4/11/16, and a Form 5 filed on 2/17/15 (the "Prior Statements") to reflect that (a) the securities shown therein as indirectly held by Ruchefsky through CSC may also be deemed to be beneficially owned by CSC and Sussman and (b) the securities shown in the Prior Statements filed on or after 10/31/13 as directly held by Ruchefsky may also be deemed to be beneficially owned by CSC and Sussman. Each of Ruchefsky and Sussman are co-managing members of CSC and as such may be deemed to beneficially own the securities held by CSC.
- F3Each of Ruchefsky and Sussman disclaims beneficial ownership of the securities held by CSC, except to the extent of their pecuniary interest therein, and this Form 3/A shall not be deemed an admission by Ruchefsky or Sussman that either is a beneficial owner of any securities held by CSC for purposes of Section 16 of the Exchange Act or for any other purpose. Each of CSC and Sussman disclaims beneficial ownership of the securities directly held by Ruchefsky as reflected in the Prior Statements, except to the extent of their pecuniary interest therein, and this Form 3/A shall not be deemed an admission by CSC or Sussman that either is a beneficial owner of any securities held by Ruchefsky for purposes of Section 16 of the Exchange Act or for any other purpose.
- F4CSC has a contractual right to designate one member of the Issuer's board of directors and has designated Ruchefsky, a director of the Issuer, pursuant to such right. Accordingly, each of CSC and Sussman, as a co-managing member of CSC, may be deemed to be directors by deputization for purposes of Section 16 of the Exchange Act.