SEC Form 4 · accession 0000899243-18-026069

ARVINAS, INC. · ARVN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Oct 1, 2018

Accepted (ET)

Oct 3, 2018 · 5:18 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001655759

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	Oct 1, 2018	P	312,500	$16.00	A	312,500	I	See Footnote
Common Stock^F3,F2	Oct 1, 2018	C	1,381,851	—	A	1,694,351	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series C Preferred Stock^F2,F3	—	Oct 1, 2018	C	4,491,018	D	—	—	Common Stock	1,381,851	0	I

F1Reflects shares of the Issuer's Common Stock that were purchased in connection with the Issuer's initial public offering.
F2The shares are held directly by Nextech V Oncology S.C.S., SICAV-SIF. Nextech V GP S.a r.l. is the general partner of Nextech V Oncology S.C.S., SICAV-SIF. Nextech Invest AG is the investment advisor of Nextech V Oncology S.C.S., SICAV-SIF. The Reporting Person is a member of the investment committee of Nextech Invest AG and may be deemed to have shared voting and/or investment power over the shares reported hereby. The Reporting Person disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
F3On October 1, 2018, the Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.