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ARVINAS, INC. — Director's Dealing 2018
Oct 3, 2018
32625_dirs_2018-10-03_d8035ebe-0d11-4888-a244-ade99faa6a05.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ARVINAS INC. (ARVN)
CIK: 0001655759
Period of Report: 2018-10-01
Reporting Person: Loven Jakob (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2018-10-01 | Common Stock | P | 312500 | $16.00 | Acquired | 312500 | Indirect |
| 2018-10-01 | Common Stock | C | 1381851 | — | Acquired | 1694351 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2018-10-01 | Series C Preferred Stock | $ | C | 4491018 | Disposed | Common Stock (1381851) | Indirect |
Footnotes
F1: Reflects shares of the Issuer's Common Stock that were purchased in connection with the Issuer's initial public offering.
F2: The shares are held directly by Nextech V Oncology S.C.S., SICAV-SIF. Nextech V GP S.a r.l. is the general partner of Nextech V Oncology S.C.S., SICAV-SIF. Nextech Invest AG is the investment advisor of Nextech V Oncology S.C.S., SICAV-SIF. The Reporting Person is a member of the investment committee of Nextech Invest AG and may be deemed to have shared voting and/or investment power over the shares reported hereby. The Reporting Person disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
F3: On October 1, 2018, the Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.