Statement of Changes in Beneficial Ownership (4)
February 18 2021 - 5:10PM
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
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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
*
Cassidy Sean A |
2. Issuer Name and Ticker or Trading Symbol
ARVINAS, INC.
[
ARVN
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Financial Officer |
(Last)
(First)
(Middle)
C/O ARVINAS, INC., 5 SCIENCE PARK, 395 WINCHESTER AVE. |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/16/2021 |
(Street)
NEW HAVEN, CT 06511
(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 | 2/16/2021 | | M(1) | | 6815 | A | $16.00 | 161599 | D | |
Common Stock | 2/16/2021 | | M(1) | | 35144 | A | $16.00 | 196743 | D | |
Common Stock | 2/16/2021 | | S(2) | | 8158 | D | $77.5979 (3) | 188585 | D | |
Common Stock | 2/16/2021 | | S(2) | | 19303 | D | $78.6125 (4) | 169282 | D | |
Common Stock | 2/16/2021 | | S(2) | | 3958 | D | $79.3164 (5) | 165324 | D | |
Common Stock | 2/16/2021 | | S(2) | | 396 | D | $80.2812 (6) | 164928 | D | |
Common Stock | 2/16/2021 | | S(2) | | 2793 | D | $77.6207 (7) | 162135 | D | |
Common Stock | 2/16/2021 | | S(2) | | 6160 | D | $78.6465 (8) | 155975 | D | |
Common Stock | 2/16/2021 | | S(2) | | 1161 | D | $79.424 (9) | 154814 | D | |
Common Stock | 2/16/2021 | | S(2) | | 30 | D | $80.4347 (10) | 154784 | D | |
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) | 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 | 2/16/2021 | | M (1) | | | 6815 | (11) | 9/25/2028 | Common Stock | 6815 | $0.00 | 0 | D | |
Stock Option (right to buy) | $16.00 | 2/16/2021 | | M (1) | | | 35144 | (12) | 9/25/2028 | Common Stock | 35144 | $0.00 | 46262 | D | |
Explanation of Responses: |
(1) | The stock option exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 29, 2020. |
(2) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 29, 2020. |
(3) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.04 to $78.035, inclusive. The reporting person undertakes to provide to Arvinas, Inc., any security holder of Arvinas, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (3) through (10) to this Form 4. |
(4) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.04 to $79.03, inclusive. |
(5) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $79.04 to $79.91, inclusive. |
(6) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.04 to $80.74, inclusive. |
(7) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.05 to $78.04, inclusive. |
(8) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.09 to $79.07, inclusive. |
(9) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $79.10 to $79.91, inclusive. |
(10) | The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.42 to $80.86, inclusive. |
(11) | This option award was granted on September 26, 2018. 1/4 of the shares underlying the award vested as of January 1, 2017 and the remainder of the shares vested in equal monthly installments following January 1, 2017 through January 1, 2020. |
(12) | This option award was granted on September 26, 2018. 1/4 of the shares underlying the award vested on March 31, 2019, with the remainder of the shares vesting in equal monthly installments following March 31, 2019 through March 31, 2022. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Cassidy Sean A C/O ARVINAS, INC. 5 SCIENCE PARK, 395 WINCHESTER AVE. NEW HAVEN, CT 06511 |
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| Chief Financial Officer |
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Signatures
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/s/ Matthew Batters, as attorney-in-fact for Sean Cassidy | | 2/18/2021 |
**Signature of Reporting Person | Date |
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