0000899243-18-026073.txt : 20181003 0000899243-18-026073.hdr.sgml : 20181003 20181003172228 ACCESSION NUMBER: 0000899243-18-026073 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181001 FILED AS OF DATE: 20181003 DATE AS OF CHANGE: 20181003 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ratcliffe Liam CENTRAL INDEX KEY: 0001547100 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38672 FILM NUMBER: 181106015 MAIL ADDRESS: STREET 1: C/O NEW LEAF VENTURE PARTNERS STREET 2: 7 TIMES SQUARE - SUITE 3502 CITY: NEW YORK STATE: NY ZIP: 10036 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ARVINAS INC. CENTRAL INDEX KEY: 0001655759 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 472566120 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 395 WINCHESTER COMPANY, LLC STREET 2: 5 SCIENCE PARK CITY: NEW HAVEN STATE: CT ZIP: 06511 BUSINESS PHONE: 203-535-1456 MAIL ADDRESS: STREET 1: 395 WINCHESTER COMPANY, LLC STREET 2: 5 SCIENCE PARK CITY: NEW HAVEN STATE: CT ZIP: 06511 FORMER COMPANY: FORMER CONFORMED NAME: ARVINAS HOLDING COMPANY, LLC DATE OF NAME CHANGE: 20151015 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-10-01 0 0001655759 ARVINAS INC. ARVN 0001547100 Ratcliffe Liam C/O ARVINAS, INC. 5 SCIENCE PARK, 395 WINCHESTER AVE. NEW HAVEN CT 06511 1 0 0 0 Common Stock 2018-10-01 4 C 0 1108202 A 1108202 I See Footnote Common Stock 2018-10-01 4 C 0 174846 A 1283048 I See Footnote Common Stock 2018-10-01 4 P 0 625000 16.00 A 1908048 I See Footnote Common Stock 2018-10-01 4 P 0 375000 16.00 A 375000 I See Footnote Series B Preferred Stock 2018-10-01 4 C 0 3601657 0.00 D Common Stock 1108202 0 I See Footnote Series C Preferred Stock 2018-10-01 4 C 0 568252 0.00 D Common Stock 174846 0 I See Footnote All Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 3.25-for-one basis upon the closing of the Issuer's initial public offering without payment of further consideration. The shares had no expiration date. These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The general partner of NLV-III is New Leaf Venture Associates III, L.P. ("NLVA-III"). The general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. The Reporting Person, Ronald M. Hunt and Vijay K. Lathi are the managers of Management-III (each, a "NLV-III Manager" and collectively, the " NLV-III Managers") and may each be deemed to have shared voting and investment power with respect to these securities. (Continued from Footnote 2) The Reporting Person and each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. These shares are held directly by New Leaf Ventures Biopharma Opportunities II, L.P. ("BPO-II"). The general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein. The Reporting Person, a member of the Issuer's board of directors, Ronald M. Hunt, Vijay K. Lathi and Isaac J. Manke are the managers of BPO Management-II (each, a "BPO-II Manager" and collectively, the "BPO-II Managers") and may each be deemed to have shared voting and investment power with respect to these securities. (Continued from Footnote 4) The Reporting Person and each of the BPO-II Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. /s/ Matthew Batters, as attorney-in-fact for Liam Ratcliffe 2018-10-03