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ARVINAS, INC. — Director's Dealing 2018
Sep 26, 2018
32625_dirs_2018-09-26_19a0ad3f-1d56-421c-a173-ced684446c1e.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: ARVINAS HOLDING COMPANY, LLC (ARVN)
CIK: 0001655759
Period of Report: 2018-09-26
Reporting Person: 5AM VENTURES III, L.P. (10% Owner)
Reporting Person: 5AM Co-Investors III, L.P. (10% Owner)
Reporting Person: 5AM Partners III, LLC (10% Owner)
Reporting Person: ROCKLAGE SCOTT M (10% Owner)
Reporting Person: DIEKMAN JOHN D (10% Owner)
Reporting Person: Schwab Andrew J. (10% Owner)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series A Preferred Stock | $ | Common Stock (2862649) | Indirect | ||
| Series A Preferred Stock | $ | Common Stock (73777) | Indirect | ||
| Series B Preferred Stock | $ | Common Stock (1338679) | Indirect | ||
| Series B Preferred Stock | $ | Common Stock (34500) | Indirect | ||
| Series C Preferred Stock | $ | Common Stock (662864) | Indirect | ||
| Series C Preferred Stock | $ | Common Stock (17083) | Indirect |
Footnotes
F1: The Series A Preferred Stock, the Series B Preferred Stock and the Series C Preferred Stock is convertible into Common Stock on a 3.25-for-one basis into the number of shares of Common Stock shown in Column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date.
F2: 9,303,611 shares of Series A Preferred Stock, 4,350,709 shares of Series B Preferred Stock and 2,154,311 shares of Series C Preferred Stock are held by 5AM Ventures III, L.P. ("Ventures III").
F3: 239,776 shares of Series A Preferred Stock, 112,128 shares of Series B Preferred Stock and 55,522 shares of Series C Preferred Stock are held by 5AM Co-Investors III, L.P. ("Co-Investors III").
F4: 5AM Partners III, LLC ("Partners III") is the sole general partner of Ventures III and Co-Investors III. Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage, are the managing members of Partners III, and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures III and Co-Investors III. Each of Partners III, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.