Statement of Changes in Beneficial Ownership (4)
April 07 2021 - 6:01PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Taylor Ian |
2. Issuer Name and Ticker or Trading Symbol
ARVINAS, INC.
[
ARVN
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Scientific Officer |
(Last)
(First)
(Middle)
C/O ARVINAS, INC., 5 SCIENCE PARK, 395 WINCHESTER AVE. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/5/2021 |
(Street)
NEW HAVEN, CT 06511
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 4/5/2021 | | M | | 25000 | A | $16.00 | 103645 | D | |
Common Stock | 4/5/2021 | | S(1) | | 4100 | D | $66.01 (2) | 99545 | D | |
Common Stock | 4/5/2021 | | S(1) | | 16450 | D | $66.80 (3) | 83095 | D | |
Common Stock | 4/5/2021 | | S(1) | | 4450 | D | $67.56 (4) | 78645 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (right to buy) | $16.00 | 4/5/2021 | | M | | | 9211 | (5) | 9/25/2028 | Common Stock | 9211 | $0.00 | 0 | D | |
Stock Option (right to buy) | $16.00 | 4/5/2021 | | M | | | 15789 | (6) | 9/25/2028 | Common Stock | 15789 | $0.00 | 28601 | D | |
Explanation of Responses: |
(1) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 5, 2021. |
(2) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.30 to $66.29, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.31 to $67.30, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. |
(4) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.31 to $68.07, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. |
(5) | This option award was granted on September 26, 2018. 1/4 of the shares underlying the award vested as of June 1, 2017, with the remainder of the shares vesting in equal monthly installments following June 1, 2017 through June 1, 2020. |
(6) | This option award was granted on September 26, 2018. 1/4 of the shares underlying the award vested on June 28, 2019, with the remainder of the shares vesting in equal monthly installments following June 28, 2019 through June 28, 2022. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Taylor Ian C/O ARVINAS, INC. 5 SCIENCE PARK, 395 WINCHESTER AVE. NEW HAVEN, CT 06511 |
|
| Chief Scientific Officer |
|
Signatures
|
/s/ Matthew Batters as attorney-in-fact for Ian Taylor | | 4/7/2021 |
**Signature of Reporting Person | Date |
Arvinas (NASDAQ:ARVN)
Historical Stock Chart
From Aug 2024 to Sep 2024
Arvinas (NASDAQ:ARVN)
Historical Stock Chart
From Sep 2023 to Sep 2024