SEC Form 4 · accession 0001104659-16-094739
Aralez Pharmaceuticals Inc. · ARLZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John E Barnhardt
Officer — VP, Finance & Administration
Period of report
Feb 4, 2016
Accepted (ET)
Feb 8, 2016 · 6:13 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001660719
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Feb 4, 2016 | F | 13,682 | $6.57 | D | 74,106 | D | |
| Common Stock | Feb 4, 2016 | M | 2,036 | $1.98 | A | 76,142 | D | |
| Common Stock | Feb 4, 2016 | F | 614 | $6.57 | D | 75,528 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionF3 | $1.98 | Feb 4, 2016 | M | 2,036 | D | Oct 3, 2012 | — | Common Stock | 2,036 | 0 | D |
Explanation of responses
- F1Represents shares of common stock delivered following vesting of restricted stock units as payment of applicable taxes. The vesting of such restricted stock units was accelerated to February 4, 2016 pursuant to a merger agreement entered into by the registrant.
- F2Represents shares of common stock delivered following exercise of stock options as payment of applicable taxes.
- F3The expiration date of this Stock Option was accelerated to February 4, 2016 pursuant to a merger agreement entered into by the Registrant.