0001567619-20-016850.txt : 20200917 0001567619-20-016850.hdr.sgml : 20200917 20200917183429 ACCESSION NUMBER: 0001567619-20-016850 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200915 FILED AS OF DATE: 20200917 DATE AS OF CHANGE: 20200917 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rosenbaum David P. CENTRAL INDEX KEY: 0001611311 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36485 FILM NUMBER: 201182180 MAIL ADDRESS: STREET 1: C/O ARDELYX, INC. STREET 2: 34175 ARDENWOOD BLVD, SUITE 100 CITY: FREMONT STATE: CA ZIP: 94555 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ARDELYX, INC. CENTRAL INDEX KEY: 0001437402 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 34175 ARDENWOOD BLVD. CITY: FREMONT STATE: CA ZIP: 94555 BUSINESS PHONE: 510-745-7047 MAIL ADDRESS: STREET 1: 34175 ARDENWOOD BLVD. CITY: FREMONT STATE: CA ZIP: 94555 FORMER COMPANY: FORMER CONFORMED NAME: NTERYX INC DATE OF NAME CHANGE: 20080611 4 1 doc1.xml FORM 4 X0306 4 2020-09-15 0 0001437402 ARDELYX, INC. ARDX 0001611311 Rosenbaum David P. C/O ARDELYX, INC. 34175 ARDENWOOD BLVD, SUITE 200 FREMONT CA 94555 0 1 0 0 Chief Development Officer Common Stock 2020-09-15 4 S 0 34656 5.52 D 133047 D Common Stock 2020-09-15 4 S 0 3470 5.5133 D 21662 I By Wife Common Stock 77592 I Family Trust Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes. This transaction was executed in multiple trades in prices ranging from $5.30 to $5.86, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Reflects the adjusted total which includes the purchase of 2,062 shares on February 28, 2020 and 2,675 shares on August 31, 2020 under the Ardelyx Employee Stock Purchase Plan. This transaction was executed in multiple trades in prices ranging from $5.30 to $5.84, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote. Reflects the adjusted total which includes the purchase of 2,183 shares on February 28, 2020 and 2,311 shares on August 31, 2020 under the Ardelyx Employee Stock Purchase Plan. The shares are directly held by the Reporting Person's wife. The shares are directly held by David Paul Rosenbaum and Susan Edelstein Rosenbaum, Trustees of the David Paul Rosenbaum Family Trust. /s/ Elizabeth Grammer, Attorney-in-Fact for David Rosenbaum 2020-09-17