0000899243-21-043795.txt : 20211109
0000899243-21-043795.hdr.sgml : 20211109
20211109214709
ACCESSION NUMBER: 0000899243-21-043795
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20211105
FILED AS OF DATE: 20211109
DATE AS OF CHANGE: 20211109
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: 211394179
MAIL ADDRESS:
STREET 1: C/O ACCESS INDUSTRIES, INC
STREET 2: 40 WEST 57TH ST, 28TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
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 AVE
STREET 2: 5 SCIENCE PARK
CITY: NEW HAVEN
STATE: CT
ZIP: 06511
BUSINESS PHONE: 203-535-1456
MAIL ADDRESS:
STREET 1: 395 WINCHESTER AVE
STREET 2: 5 SCIENCE PARK
CITY: NEW HAVEN
STATE: CT
ZIP: 06511
FORMER COMPANY:
FORMER CONFORMED NAME: ARVINAS INC.
DATE OF NAME CHANGE: 20181001
FORMER COMPANY:
FORMER CONFORMED NAME: ARVINAS HOLDING COMPANY, LLC
DATE OF NAME CHANGE: 20151015
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2021-11-05
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
2021-11-05
4
M
0
6423
22.06
A
12923
D
Common Stock
2021-11-05
4
M
0
12000
33.57
A
24923
D
Common Stock
2021-11-05
4
S
0
6423
91.50
D
18500
D
Common Stock
2021-11-05
4
S
0
7060
91.50
D
11440
D
Common Stock
2021-11-05
4
S
0
4940
90.75
D
6500
D
Common Stock
2021-11-05
4
S
0
5221
91.59
D
1279
D
Common Stock
2021-11-05
4
S
0
795
90.29
D
484
D
Common Stock
2021-11-05
4
S
0
484
89.65
D
0
D
Common Stock
2021-11-05
4
S
0
4519
94.0775
D
818338
I
See footnote
Common Stock
2021-11-05
4
S
0
1825
93.033
D
816513
I
See footnote
Common Stock
2021-11-05
4
S
0
15327
91.8147
D
801186
I
See footnote
Common Stock
2021-11-05
4
S
0
8676
91.0904
D
792510
I
See footnote
Common Stock
2021-11-05
4
S
0
2747
89.863
D
789763
I
See footnote
Common Stock
2021-11-08
4
S
0
54568
94.9321
D
735195
I
See footnote
Common Stock
2021-11-08
4
S
0
11668
94.2003
D
723527
I
See footnote
Common Stock
2021-11-08
4
S
0
11130
93.032
D
712397
I
See footnote
Common Stock
2021-11-08
4
S
0
3688
92.476
D
708709
I
See footnote
Common Stock
2021-11-09
4
S
0
5131
92.7304
D
703578
I
See footnote
Common Stock
2021-11-09
4
S
0
27297
91.845
D
676281
I
See footnote
Common Stock
2021-11-09
4
S
0
580
91.3256
D
675701
I
See footnote
Stock Option (right to buy)
22.06
2021-11-05
4
M
0
6423
0.00
D
2029-05-22
Common Stock
6423
0
D
Stock Option (right to buy)
33.57
2021-11-05
4
M
0
12000
0.00
D
2030-06-02
Common Stock
12000
0
D
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).
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).
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).
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).
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).
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).
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).
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.
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).
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).
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).
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).
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).
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).
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).
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).
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).
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).
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).
This option award was granted on May 23, 2019 and the shares underlying the award vested in full on May 23, 2020.
This option award was granted on June 3, 2020 and the shares underlying the award vested in full on June 3, 2021.
/s/ Matthew Batters, as attorney-in-fact for Liam Ratcliffe
2021-11-09