SEC Form 4 · accession 0001140361-15-034401
ARDELYX, INC. · ARDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David P. Rosenbaum
Officer — SVP, Drug Development
Period of report
Sep 1, 2015
Accepted (ET)
Sep 3, 2015 · 5:42 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,F2 | Sep 1, 2015 | S | 1,286 | $18.32 | D | 0 | I | See Footnote |
| Common StockF4 | Sep 3, 2015 | S | 1,251 | $19.25 | D | 25,880 | D | |
| Common StockF5,F6 | holding | — | — | — | 77,592 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Consists of 1,286 shares acquired under the Issuer's Employee Stock Purchase Plan on August 31, 2015.
- F2The shares are directly held by the reporting person's wife.
- F3Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on June 18, 2015.
- F4Consists of 1,251 shares acquired under the Issuer's Employee Stock Purchase Plan on August 31, 2015.
- F5The reporting person no longer has a reportable beneficial interest in 2,777 shares of the Issuer's common stock owned by his son and 2,777 shares of the Issuer's common stock owned by each of his two daughters, which shares were included in the reporting person's prior ownership reports.
- F6The shares are directly held by David Paul Rosenbaum and Susan Edelstein Rosenbaum, Trustees of the David Paul Rosenbaum Family Trust.