SEC Form 4 · accession 0000899243-18-026075
ARVINAS, INC. · ARVN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John G Houston
Officer — President and CEO · Director
Period of report
Oct 1, 2018
Accepted (ET)
Oct 3, 2018 · 5:22 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 StockF1 | Oct 1, 2018 | P | 30,000 | $16.00 | A | 772,860 | D | |
| Common StockF2 | Oct 1, 2018 | C | 12,484 | — | A | 785,344 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series C Preferred StockF2 | — | Oct 1, 2018 | C | 40,573 | D | — | — | Common Stock | 12,484 | 0 | D |
Explanation of responses
- F1Reflects shares of the Issuer's Common Stock that were purchased in connection with the Issuer's initial public offering.
- F2On 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.