SEC Form 4/A · accession 0001140361-16-056911
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
Sep 15, 2015
Accepted (ET)
Mar 7, 2016 · 9:13 pm EST
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 | Sep 15, 2015 | S | 2,540 | $22.0069 | D | 23,340 | D | |
| Common StockF1,F4 | holding | — | — | — | 77,592 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Amendment is filed to correct the account under which the Reporting Person sold the shares. The original filing reported a sale from the Reporting Person's trust whereas the transaction was executed using shares held in his individual account. All other information, including sale price and number of shares sold, was correct as originally reported.
- F2Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on June 18, 2015.
- F3This transaction was executed in multiple trades in prices ranging from $22.00 to $22.11, 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.
- F4The shares are directly held by David Paul Rosenbaum and Susan Edelstein Rosenbaum, Trustees of the David Paul Rosenbaum Family Trust.