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