SEC Form 4 · accession 0001127602-15-022957
ARIAD PHARMACEUTICALS INC · ARIA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Harvey J M D Berger
Officer — Chairman & CEO · Director
Period of report
Jul 15, 2015
Accepted (ET)
Jul 16, 2015 · 4:22 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000884731
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jul 15, 2015 | M | 36,800 | $0.00 | A | 1,383,862 | D | |
| Common Stock | Jul 15, 2015 | F | 17,370 | $8.35 | D | 1,366,492 | D | |
| Common Stock | holding | — | — | — | 246,054 | I | Daughter | |
| Common Stock | holding | — | — | — | 248,745 | I | Daughter | |
| Common StockF3 | holding | — | — | — | 1,864,286 | I | Ocean Capital Partners, Llc | |
| Common Stock | holding | — | — | — | 245,251 | I | Wife |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Performance stock unitF4,F5 | — | Jul 15, 2015 | M | 36,800 | D | — | — | Common Stock | 36,800 | 0 | D |
Explanation of responses
- F1Shares were acquired upon vesting of performance stock units awarded on March 20, 2012.
- F2Represents shares withheld to satisfy witholding tax requirements, pursuant to a Rule 10b5-1 trading plan.
- F3The reporting person is a managing member of this LLC.
- F4Each performance stock unit represents a right to receive one share of ARIAD common stock.
- F5The performance stock units vested on 7/15/15.