SEC Form 4 · accession 0001127602-16-036018
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
Dec 31, 2015
Accepted (ET)
Jan 5, 2016 · 5:41 pm EST
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 | Dec 31, 2015 | M | 36,000 | $0.00 | A | 1,449,992 | D | |
| Common Stock | Dec 31, 2015 | F | 16,992 | $6.25 | D | 1,433,000 | D | |
| Common Stock | Dec 31, 2015 | M | 345,000 | $0.00 | A | 1,778,000 | D | |
| Common Stock | Dec 31, 2015 | F | 162,841 | $6.25 | D | 1,615,159 | D | |
| Common Stock | Dec 31, 2015 | M | 47,500 | $0.00 | A | 1,662,659 | D | |
| Common Stock | Dec 31, 2015 | F | 22,420 | $6.25 | D | 1,640,239 | D | |
| Common Stock | Dec 31, 2015 | M | 174,000 | $0.00 | A | 1,814,239 | D | |
| Common Stock | Dec 31, 2015 | F | 82,128 | $6.25 | D | 1,732,111 | D | |
| Common Stock | holding | — | — | — | 246,054 | I | Daughter | |
| Common Stock | holding | — | — | — | 248,745 | I | Daughter | |
| Common StockF6 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF7,F8 | — | Dec 31, 2015 | M | 36,000 | D | — | — | Common Stock | 36,000 | 0 | D |
| Restricted Stock UnitsF7,F8 | — | Dec 31, 2015 | M | 345,000 | D | — | — | Common Stock | 345,000 | 0 | D |
| Performance stock unitF9,F8 | — | Dec 31, 2015 | M | 47,500 | D | — | — | Common Stock | 47,500 | 0 | D |
| Restricted Stock UnitsF7,F8 | — | Dec 31, 2015 | M | 174,000 | D | — | — | Common Stock | 174,000 | 0 | D |
Explanation of responses
- F1Shares were acquired upon vesting of restricted stock units awarded on March 19, 2013.
- F2Represents shares withheld to satisfy witholding tax requirements.
- F3Shares were acquired upon vesting of restricted stock units awarded on April 28, 2015.
- F4Shares were acquired upon vesting of performance stock units awarded on March 19, 2013.
- F5Shares were acquired upon vesting of restricted stock units awarded on March 20, 2012.
- F6The reporting person is a managing member of this LLC.
- F7Each restricted stock unit represents a right to receive one share of ARIAD common stock.
- F8The restricted and performance stock units vested on December 31, 2015.
- F9Each performance stock unit represents a right to receive one share of ARIAD common stock.