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