SEC Form 4 · accession 0001405086-18-000206
ARVINAS, INC. · ARVN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Robert A. Bettigole
Other
Period of report
Oct 1, 2018
Accepted (ET)
Oct 9, 2018 · 4:18 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 STOCKF1,F2 | Oct 1, 2018 | C | 767,623 | — | A | 767,623 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and 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 A Preferred Stock, Series B Preferred Stock and 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.
- F2Elm Street Ventures, LP is the direct beneficial owner of the Common Stock. Elm Street Venture Associates, LLC is the general partner of Elm Street Ventures, LP. Robert A. Bettigole is the managing member of Elm Street Venture Associates, LLC. Elm Street Venture Associates, LLC and Robert A. Bettigole are indirect beneficial owners of the Common Stock.
Remarks
This Form 4 is being filed by Elm Street Ventures, LP, a Delaware limited partnership ("Elm Street"), Elm Street Venture Associates, LLC, a Delaware limited liability company ("GP"), and Robert A. Bettigole (together with Elm Street and GP, the "Reporting Persons").