Arno Therapeutics, Inc 4
4 · Arno Therapeutics, Inc · Filed Jan 3, 2017
Insider Transaction Report
Form 4
SUSSMAN S DONALD
10% OwnerOther
Transactions
- Sale
2013 Series D Warrants
2016-12-30−1,383,702→ 0 totalExercise: $1.75From: 2013-10-29Exp: 2018-10-29→ Common Stock (1,383,702 underlying) - Sale
2012 Series A Warrants
2016-12-30−1,605,809→ 0 totalExercise: $1.14From: 2013-10-29Exp: 2017-11-26→ Common Stock (1,605,809 underlying) - Sale
Common Stock
2016-12-30−4,285,111→ 714,285 total
Holdings
- 357,142
2016 Series F Warrants (right to buy)
Exercise: $0.44From: 2016-08-15Exp: 2021-08-15→ Common Stock (357,142 underlying)
Footnotes (4)
- [F1]Commercial Street Capital LLC ("CSC") has a contractual right to designate one member of the Issuer's board of directors and has designated Steven B. Ruchefsky, a director of the Issuer, pursuant to such right. Accordingly, the Reporting Person, as a co-managing director of CSC, may be deemed to be a director by deputization for purposes of Section 16 of the Exchange Act.
- [F2]These shares of common stock or warrants exercisable for shares of common stock, as applicable, represent a pro rata distribution from CSC, and not a purchase or sale, of such shares or warrants by CSC to its members without consideration.
- [F3]These reported securities are included within a sale by the Reporting Person of all such securities for an aggregate price of $1,000.
- [F4]As a result of the Issuer's 8/15/16 private placement of common stock and Series F Warrants, the exercise prices and shares underlying the 2012 Series A Warrants and 2013 Series D Warrants were automatically adjusted to the exercise price and shares reflected pursuant to anti-dilution adjustment provisions in such warrants.