SEC Form 5 · accession 0001140361-18-018552
ARDELYX, INC. · ARDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David P. Rosenbaum
Officer — Chief Development Officer
Period of report
Dec 31, 2017
Accepted (ET)
Apr 13, 2018 · 4:50 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,F3 | Aug 9, 2017 | A | 2,500 | $0.00 | A | 4,345 | I | See Footnote |
| Common StockF3 | Dec 27, 2017 | S | 300 | $6.6222 | D | 4,045 | I | See Footnote |
| Common StockF5 | holding | — | — | — | 66,911 | D | ||
| Common StockF4 | holding | — | — | — | 77,592 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) share of Common Stock for each one (1) RSU upon the vesting thereof.
- F2Includes 568 shares acquired under the Issuer's Employee Stock Purchase Plan on August 31, 2017.
- F3The shares are directly held by the Reporting Person's wife.
- F4The shares are directly held by David Paul Rosenbaum and Susan Edelstein Rosenbaum, Trustees of the David Paul Rosenbaum Family Trust.
- F5Includes 270 shares acquired under the Issuer's Employee Stock Purchase Plan on August 31, 2017.