SEC Form 4/A · accession 0001140361-15-034226
ARDELYX, INC. · ARDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
David P. Rosenbaum
Officer — SVP, Drug Development
Period of report
Jul 30, 2015
Accepted (ET)
Sep 2, 2015 · 5:12 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001437402
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F3,F4 | Jul 30, 2015 | S | 2,011 | $19.2716 | D | 25,880 | D | |
| Common StockF1,F5 | holding | — | — | — | 77,592 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This amendment is being filed to correct the account under which the reporting person sold and to report the original source of the shares sold.
- F2Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on June 18, 2015.
- F3The 2,011 shares reported as sold herein were originally acquired under the Issuer's Employee Stock Purchase Plan on February 27, 2015.
- F4This transaction was executed in multiple trades in prices ranging from $19.19 to $19.566, inclusive. The price reported in Column 4 above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
- F5The shares are directly held by David Paul Rosenbaum and Susan Edelstein Rosenbaum, Trustees of the David Paul Rosenbaum Family Trust.