ARVINAS, INC. — Director's Dealing 2019

Sep 18, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: ARVINAS, INC. (ARVN)
CIK: 0001655759
Period of Report: 2019-09-16

Reporting Person: 5AM VENTURES III, L.P. (10% Owner)
Reporting Person: 5AM Partners III, LLC (10% Owner)
Reporting Person: 5AM Co-Investors III, L.P. (10% Owner)
Reporting Person: DIEKMAN JOHN D (10% Owner)
Reporting Person: ROCKLAGE SCOTT M (10% Owner)
Reporting Person: Schwab Andrew J. (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-09-16	Common Stock	J	438694	—	Disposed	3098567	Indirect
2019-09-16	Common Stock	J	11306	—	Disposed	79856	Indirect
2019-09-16	Common Stock	J	85396	—	Acquired	85396	Indirect
2019-09-16	Common Stock	J	17079	—	Acquired	17079	Indirect
2019-09-16	Common Stock	J	17079	—	Acquired	17079	Indirect
2019-09-16	Common Stock	J	8540	—	Acquired	8540	Indirect
2019-09-16	Common Stock	J	8540	—	Acquired	8540	Indirect
2019-09-16	Common Stock	J	1002	—	Acquired	1002	Indirect

Footnotes

F1: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by 5AM Ventures III, L.P. ("Ventures III") without consideration to its partners.

F2: These Securities are held of record by Ventures III.

F3: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by 5AM Co-Investors III, L.P. ("Co-Investors III") without consideration to its partners.

F4: These Securities are held of record by Co-Investors III.

F5: Represents a change in the form of ownership of 5AM Partners III, LLC ("Partners III") by virtue of the receipt of shares in the pro-rata in-kind distribution of Common Stock of the Issuer for no consideration by Ventures III and Co-Investors III.

F6: These Securities are held of record by Partners 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 Partners III. Each of Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of his pecuniary interest therein.

F7: 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.

F8: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to John D. Diekman and Susan P. Diekman Trustees Diekman Revocable Trust Dtd 6/30/95 ("Diekman Trust").

F9: These securities are held of record by Diekman Trust. Dr. Diekman is a trustee and beneficiary of the Diekman Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.

F10: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to the Schwab Family Trust, Andrew J. Schwab and Catarina N. Schwab, as Trustees of the Schwab Family Trust, dated October 26, 2007 ("Schwab Family Trust").

F11: These securities are held of record by Schwab Family Trust. Mr. Schwab is a trustee and beneficiary of the Schwab Family Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.

F12: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to Scott M. Rocklage Revocable Trust dated 10/22/15; Trustees: Scott M. Rocklage and Patty B. Rocklage ("Rocklage Trust").

F13: These securities are held of record by Rocklage Trust. Dr. Rocklage is a trustee and beneficiary of the Rocklage Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.

F14: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to MADRock II LLC ("MADRock II").

F15: These securities are held of record by MADRock II. Dr. Rocklage is a manager of MADRock II and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.

F16: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Co-Investor III to Dr. John D. Diekman.

F17: These securities are held of record by Dr. John D. Diekman and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.