Form 4 for ARVN ARVINAS, INC.
Accepted 2021-11-09 00:00:00 ET · period of report 2021-11-05 · accession 0000899243-21-043795 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2021-11-09 | 2021-11-05+ | ARVN | Ratcliffe Liam | Dir | S - Sale+OE | $93.31 | -147.2K | 818.3K | -15% | -$13.73M |
| DM | 2021-11-09 | 2021-11-05 | ARVN | Ratcliffe Liam | Dir | S - Sale+OE | $91.30 | -24.9K | 18.5K | -57% | -$2.28M |
| DM | 2021-11-09 | 2021-11-05 | ARVN | Ratcliffe Liam | Dir | M - OptEx | $29.56 | +18.4K | 24.9K | +283% | +$544.5K |
| DM | 2021-11-09 | 2021-11-05 | ARVN | Ratcliffe Liam | Dir | M - OptEx | $0.00 | -18.4K | 0 | -100% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-11-09 | S | D | 27,297 | $91.85 | 676,281 | I | — | — | (F18) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.37 to $92.365, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (18). |
| 2 | Common | Common Stock | 2021-11-09 | S | D | 580 | $91.33 | 675,701 | I | — | — | (F19) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.27 to $91.36, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (19). |
| 3 | Common | Common Stock | 2021-11-09 | S | D | 5,131 | $92.73 | 703,578 | I | — | — | (F17) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $92.37 to $93.37, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (17). |
| 4 | Common | Common Stock | 2021-11-08 | S | D | 3,688 | $92.48 | 708,709 | I | — | — | (F16) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $92.03 to $92.66, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (16). |
| 5 | Common | Common Stock | 2021-11-08 | S | D | 11,130 | $93.03 | 712,397 | I | — | — | (F15) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $92.67 to $93.67, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (15). |
| 6 | Common | Common Stock | 2021-11-08 | S | D | 11,668 | $94.20 | 723,527 | I | — | — | (F14) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $93.71 to $94.71, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (14). |
| 7 | Common | Common Stock | 2021-11-08 | S | D | 54,568 | $94.93 | 735,195 | I | — | — | (F13) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $94.72 to $95.715, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (13). |
| 8 | Common | Common Stock | 2021-11-05 | S | D | 2,747 | $89.86 | 789,763 | I | — | — | (F12) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $89.51 to $90.20, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (12). |
| 9 | Common | Common Stock | 2021-11-05 | S | D | 8,676 | $91.09 | 792,510 | I See footnote | — | — | (F11) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $90.42 to $91.41, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (11). (F8) The reported shares are held directly by AI Biotechnology LLC ("AIB"), a limited liability company of which the reporting person is the holder of units that are treated as profits interest units. The units owned by the reporting person do not convey a right to vote or dispose of the shares of the Issuer's Common Stock held by AIB. The reporting person disclaims beneficial ownership of all shares held by AIB and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. |
| 10 | Common | Common Stock | 2021-11-05 | S | D | 15,327 | $91.81 | 801,186 | I See footnote | — | — | (F10) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.42 to $92.42, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (10). (F8) The reported shares are held directly by AI Biotechnology LLC ("AIB"), a limited liability company of which the reporting person is the holder of units that are treated as profits interest units. The units owned by the reporting person do not convey a right to vote or dispose of the shares of the Issuer's Common Stock held by AIB. The reporting person disclaims beneficial ownership of all shares held by AIB and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. |
| 11 | Common | Common Stock | 2021-11-05 | S | D | 1,825 | $93.03 | 816,513 | I See footnote | — | — | (F9) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $92.52 to $93.43, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (9). (F8) The reported shares are held directly by AI Biotechnology LLC ("AIB"), a limited liability company of which the reporting person is the holder of units that are treated as profits interest units. The units owned by the reporting person do not convey a right to vote or dispose of the shares of the Issuer's Common Stock held by AIB. The reporting person disclaims beneficial ownership of all shares held by AIB and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. |
| 12 | Common | Common Stock | 2021-11-05 | S | D | 4,519 | $94.08 | 818,338 | I See footnote | — | — | (F7) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $93.75 to $94.51, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (7). (F8) The reported shares are held directly by AI Biotechnology LLC ("AIB"), a limited liability company of which the reporting person is the holder of units that are treated as profits interest units. The units owned by the reporting person do not convey a right to vote or dispose of the shares of the Issuer's Common Stock held by AIB. The reporting person disclaims beneficial ownership of all shares held by AIB and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. |
| 13 | Common | Common Stock | 2021-11-05 | S | D | 484 | $89.65 | 0 | D See footnote | — | — | (F6) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $89.57 to $89.73, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (6). (F8) The reported shares are held directly by AI Biotechnology LLC ("AIB"), a limited liability company of which the reporting person is the holder of units that are treated as profits interest units. The units owned by the reporting person do not convey a right to vote or dispose of the shares of the Issuer's Common Stock held by AIB. The reporting person disclaims beneficial ownership of all shares held by AIB and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. |
| 14 | Common | Common Stock | 2021-11-05 | S | D | 795 | $90.29 | 484 | D See footnote | — | — | (F5) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $90.11 to $90.98, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (5). (F8) The reported shares are held directly by AI Biotechnology LLC ("AIB"), a limited liability company of which the reporting person is the holder of units that are treated as profits interest units. The units owned by the reporting person do not convey a right to vote or dispose of the shares of the Issuer's Common Stock held by AIB. The reporting person disclaims beneficial ownership of all shares held by AIB and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. |
| 15 | Common | Common Stock | 2021-11-05 | S | D | 5,221 | $91.59 | 1,279 | D See footnote | — | — | (F4) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.27 to $92.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4). (F8) The reported shares are held directly by AI Biotechnology LLC ("AIB"), a limited liability company of which the reporting person is the holder of units that are treated as profits interest units. The units owned by the reporting person do not convey a right to vote or dispose of the shares of the Issuer's Common Stock held by AIB. The reporting person disclaims beneficial ownership of all shares held by AIB and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. |
| 16 | Common | Common Stock | 2021-11-05 | S | D | 4,940 | $90.75 | 6,500 | D See footnote | — | — | (F3) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $90.75 to $90.76, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3). (F8) The reported shares are held directly by AI Biotechnology LLC ("AIB"), a limited liability company of which the reporting person is the holder of units that are treated as profits interest units. The units owned by the reporting person do not convey a right to vote or dispose of the shares of the Issuer's Common Stock held by AIB. The reporting person disclaims beneficial ownership of all shares held by AIB and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. |
| 17 | Common | Common Stock | 2021-11-05 | S | D | 7,060 | $91.50 | 11,440 | D See footnote | — | — | (F2) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.15 to $92.02, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2). (F8) The reported shares are held directly by AI Biotechnology LLC ("AIB"), a limited liability company of which the reporting person is the holder of units that are treated as profits interest units. The units owned by the reporting person do not convey a right to vote or dispose of the shares of the Issuer's Common Stock held by AIB. The reporting person disclaims beneficial ownership of all shares held by AIB and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. |
| 18 | Common | Common Stock | 2021-11-05 | S | D | 6,423 | $91.50 | 18,500 | D See footnote | — | — | (F1) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.27 to $91.80, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1). (F8) The reported shares are held directly by AI Biotechnology LLC ("AIB"), a limited liability company of which the reporting person is the holder of units that are treated as profits interest units. The units owned by the reporting person do not convey a right to vote or dispose of the shares of the Issuer's Common Stock held by AIB. The reporting person disclaims beneficial ownership of all shares held by AIB and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. |
| 19 | Common | Common Stock | 2021-11-05 | M | A | 6,423 | $22.06 | 12,923 | D See footnote | — | — | (F8) The reported shares are held directly by AI Biotechnology LLC ("AIB"), a limited liability company of which the reporting person is the holder of units that are treated as profits interest units. The units owned by the reporting person do not convey a right to vote or dispose of the shares of the Issuer's Common Stock held by AIB. The reporting person disclaims beneficial ownership of all shares held by AIB and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. |
| 20 | Common | Common Stock | 2021-11-05 | M | A | 12,000 | $33.57 | 24,923 | D See footnote | — | — | (F8) The reported shares are held directly by AI Biotechnology LLC ("AIB"), a limited liability company of which the reporting person is the holder of units that are treated as profits interest units. The units owned by the reporting person do not convey a right to vote or dispose of the shares of the Issuer's Common Stock held by AIB. The reporting person disclaims beneficial ownership of all shares held by AIB and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein. |
| 21 | Derivative | Stock Option (right to buy) | 2021-11-05 | M | D | 12,000 | $0.00 | 0 | D | $33.57 · — to 2030-06-02 | 12,000 Common Stock | (F21) This option award was granted on June 3, 2020 and the shares underlying the award vested in full on June 3, 2021. |
| 22 | Derivative | Stock Option (right to buy) | 2021-11-05 | M | D | 6,423 | $0.00 | 0 | D | $22.06 · — to 2029-05-22 | 6,423 Common Stock | (F20) This option award was granted on May 23, 2019 and the shares underlying the award vested in full on May 23, 2020. |