FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 01/25/2013 |
3. Issuer Name and Ticker or Trading Symbol
Arno Therapeutics, Inc [ ARNI ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 418,876 | I | By: Kappa Investors LLC(1)(3)(4) |
Common Stock | 2,828,169 | I | By: Wexford Spectrum Investors LLC(2)(3)(4) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrants (right to buy) | 06/02/2008 | 06/02/2013 | Common Stock | 24,732 | $2.42 | I | By: Kappa Investors LLC(1)(3)(4) |
Class A Warrants (right to buy) | 09/09/2010 | 03/09/2013 | Common Stock | 13,441 | $0.5268 | I | By: Kappa Investors LLC(1)(3)(4) |
Class B Warrants (right to buy) | 09/09/2010 | 09/09/2015 | Common Stock | 70,564 | $0.5649 | I | By: Kappa Investors LLC(1)(3)(4) |
Class A Warrants (right to buy) | 09/09/2010 | 03/09/2013 | Common Stock | 85,759 | $0.5268 | I | By: Wexford Spectrum Investors LLC(2)(3)(4) |
Class B Warrants (right to buy) | 09/09/2010 | 09/09/2015 | Common Stock | 450,236 | $0.5649 | I | By: Wexford Spectrum Investors LLC(2)(3)(4) |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. The Common Stock and Warrants are held directly by Kappa Investors LLC ("Kappa"). |
2. The Common Stock and Warrants are held directly by Wexford Spectrum Investors LLC ("WSI", and together with Kappa, the "Funds"). |
3. This form is jointly filed by Wexford Capital LP ("Wexford"), Charles E. Davidson ("Davidson"), Joseph M. Jacobs ("Jacobs") and Wexford GP LLC ("Wexford GP"). The securities shown as beneficially owned by Davidson, Jacobs, Wexford GP and Wexford, reflect securities owned of record by the Funds. Wexford serves as manager for the Funds and as such may be deemed to share beneficial ownership of the securities beneficially owned by the Funds, but disclaims such beneficial ownership to the extent such beneficial ownership exceeds its pecuniary interest. (*continued under Footnote (4) below). |
4. (*continued from Footnote (3) above) Wexford GP, as the general partner of Wexford, may be deemed to share beneficial ownership of the securities beneficially owned by the Funds, but disclaims such beneficial ownership to the extent such beneficial ownership exceeds its pecuniary interest. Messrs. Davidson and Jacobs, as the controlling persons of Wexford GP, may be deemed to share beneficial ownership of any securities beneficially owned by the Funds for which Wexford serves as manager, but disclaim such beneficial ownership to the extent such beneficial ownership exceeds their pecuniary interest. |
Remarks: |
Arthur H. Amron, Vice President and Assistant Secretary of Wexford GP LLC, the General Partner of Wexford Capital LP | 01/25/2013 | |
Arthur H. Amron, Vice President and Assistant Secretary of Wexford GP LLC | 01/25/2013 | |
Charles E. Davidson | 01/25/2013 | |
Joseph M. Jacobs | 01/25/2013 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |