5AM VENTURES III, L.P. 4
4 · ARVINAS INC. · Filed Oct 3, 2018
Insider Transaction Report
Form 4
ARVINAS INC.ARVN
5AM VENTURES III, L.P.
10% Owner
Transactions
- Conversion
Series C Preferred Stock
2018-10-01−2,154,311→ 0 total(indirect: See Footnotes)→ Common Stock (662,864 underlying) - Conversion
Common Stock
2018-10-01+1,338,679→ 4,201,328 total(indirect: See footnotes) - Conversion
Common Stock
2018-10-01+73,777→ 73,777 total(indirect: See footnotes) - Conversion
Common Stock
2018-10-01+17,083→ 125,360 total(indirect: See footnotes) - Conversion
Series C Preferred Stock
2018-10-01−55,522→ 0 total(indirect: See Footnotes)→ Common Stock (17,083 underlying) - Conversion
Common Stock
2018-10-01+2,862,649→ 2,862,649 total(indirect: See footnotes) - Conversion
Common Stock
2018-10-01+662,864→ 4,864,192 total(indirect: See footnotes) - Conversion
Common Stock
2018-10-01+34,500→ 108,277 total(indirect: See footnotes) - Conversion
Series A Preferred Stock
2018-10-01−9,303,611→ 0 total(indirect: See Footnotes)→ Common Stock (2,862,649 underlying) - Conversion
Series A Preferred Stock
2018-10-01−239,776→ 0 total(indirect: See Footnotes)→ Common Stock (73,777 underlying) - Conversion
Series B Preferred Stock
2018-10-01−4,350,709→ 0 total(indirect: See Footnotes)→ Common Stock (1,338,679 underlying) - Conversion
Series B Preferred Stock
2018-10-01−112,128→ 0 total(indirect: See Footnotes)→ Common Stock (34,500 underlying)
Footnotes (4)
- [F1]These Secruties are held of record by 5AM Ventures III, L.P. ("Ventures III").
- [F2]These Securities are held of record by 5AM Co-Investors III, L.P. ("Co-Investors III").
- [F3]On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and 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 A Preferred Stock, Series B Preferred Stock and 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.
- [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.