Statement of Changes in Beneficial Ownership (4)
April 11 2016 - 4:24PM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Kariv Tomer
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2. Issuer Name
and
Ticker or Trading Symbol
Arno Therapeutics, Inc
[
ARNI
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
200 ROUTE 31 NORTH, SUITE 104
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3. Date of Earliest Transaction
(MM/DD/YYYY)
1/12/2016
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(Street)
FLEMINGTON, NJ 08822
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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1/12/2016
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P
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707868
(1)
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A
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$.35
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1347327
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I
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By Pontifax (Cayman) II L.P.
(2)
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Common Stock
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1/12/2016
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P
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533208
(3)
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A
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$.35
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1014888
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I
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By Pontifax (Israel) II L.P.
(2)
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Common Stock
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1/12/2016
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P
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206986
(4)
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A
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$.35
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393968
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I
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By Pontifax (Israel) II - Individual Investors L.P.
(2)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (right to buy)
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$8.00
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(5)
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11/5/2020
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Common Stock
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3750
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3750
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D
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Stock Option (right to buy)
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$2.40
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(6)
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11/4/2023
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Common Stock
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68448
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68448
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D
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Stock Option (right to buy)
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$2.90
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(7)
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1/24/2024
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Common Stock
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34224
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34224
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D
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2012 Series A Warrants (right to buy)
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$1.36
(8)
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12/18/2012
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12/18/2017
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Common Stock
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599064
(8)
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599064
(8)
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I
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Pontifax (Cayman) II L.P.
(2)
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2013 Series D Warrants (right to buy)
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$2.14
(8)
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10/29/2013
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10/29/2018
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Common Stock
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380714
(8)
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380714
(8)
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I
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Pontifax (Cayman) II L.P.
(2)
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2012 Series A Warrants (right to buy)
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$1.36
(8)
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12/18/2012
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12/18/2017
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Common Stock
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451252
(8)
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451252
(8)
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I
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Pontifax (Israel) II L.P.
(2)
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2013 Series D Warrants (right to buy)
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$2.14
(8)
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10/29/2013
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10/29/2018
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Common Stock
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286777
(8)
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286777
(8)
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I
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Pontifax (Israel) II L.P.
(2)
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2012 Series A Warrants (right to buy)
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$1.36
(8)
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12/18/2012
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12/18/2017
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Common Stock
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175170
(8)
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175170
(8)
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I
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Pontifax (Israel) II - Individual Investors L.P.
(2)
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2013 Series D Warrants (right to buy)
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$2.14
(8)
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10/29/2013
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10/29/2018
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Common Stock
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111323
(8)
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111323
(8)
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I
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Pontifax (Israel) II - Individual Investors L.P.
(2)
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Explanation of Responses:
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(
1)
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On January 12, 2016, Pontifax (Cayman) II L.P. was issued 707,868 shares upon the automatic conversion of $247,753.81 of principal and accrued interest under a 6% unsecured convertible promissory note previously issued to Pontifax (Cayman) II L.P. by the Issuer on October 21, 2015.
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(
2)
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The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
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(
3)
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On January 12, 2016, Pontifax (Israel) II L.P. was issued 533,208 shares upon the automatic conversion of $186,622.98 of principal and accrued interest under a 6% unsecured convertible promissory note previously issued to Pontifax (Israel) II L.P. by the Issuer on October 21, 2015.
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(
4)
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On January 12, 2016, Pontifax (Israel) II - Individual Investors L.P. was issued 206,986 shares upon the automatic conversion of $72,445.12 of principal and accrued interest under a 6% unsecured convertible promissory note previously issued to Pontifax (Israel) II - Individual Investors L.P. by the Issuer on October 21, 2015.
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(
5)
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Currently exercisable.
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(
6)
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Vests in equal 36-monthly installments commencing 12/4/13.
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(
7)
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Vests in equal 12-monthly installments commencing 2/24/14.
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(
8)
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As a result of the Issuer's 1/12/16 private placement of common stock at $0.35/share, the exercise price and number of shares subject to the 2012 Series A Warrants and 2013 Series D Warrants were automatically adjusted to the exercise price and shares reflected, pursuant to anti-dilution adjustment provisions.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Kariv Tomer
200 ROUTE 31 NORTH
SUITE 104
FLEMINGTON, NJ 08822
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X
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Signatures
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/s/ Christopher J. Melsha as Attorney-in-Fact for Tomer Kariv pursuant to Power of Attorney previously filed.
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1/14/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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