0001209191-16-127436.txt : 20160613
0001209191-16-127436.hdr.sgml : 20160613
20160613172423
ACCESSION NUMBER: 0001209191-16-127436
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160609
FILED AS OF DATE: 20160613
DATE AS OF CHANGE: 20160613
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ARCA biopharma, Inc.
CENTRAL INDEX KEY: 0000907654
STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835]
IRS NUMBER: 363855489
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 11080 CIRCLEPOINT ROAD
STREET 2: SUITE 140
CITY: WESTMINSTER
STATE: CO
ZIP: 80020
BUSINESS PHONE: 720-940-2200
MAIL ADDRESS:
STREET 1: 11080 CIRCLEPOINT ROAD
STREET 2: SUITE 140
CITY: WESTMINSTER
STATE: CO
ZIP: 80020
FORMER COMPANY:
FORMER CONFORMED NAME: NUVELO INC
DATE OF NAME CHANGE: 20030203
FORMER COMPANY:
FORMER CONFORMED NAME: HYSEQ INC
DATE OF NAME CHANGE: 19970610
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Ozeroff Christopher David
CENTRAL INDEX KEY: 0001454996
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-22873
FILM NUMBER: 161711514
MAIL ADDRESS:
STREET 1: 8001 ARISTA PLACE
STREET 2: SUITE 200
CITY: BROOMFIELD
STATE: CO
ZIP: 80021
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-06-09
0
0000907654
ARCA biopharma, Inc.
ABIO
0001454996
Ozeroff Christopher David
11080 CIRCLEPOINT ROAD
SUITE 140
WESTMINSTER
CO
80020
0
1
0
0
S.V.P., General Counsel
Common Stock
19585
D
Stock Option (right to buy)
3.30
2016-06-09
4
A
0
14800
0.00
A
2026-06-08
Common Stock
14800
14800
D
Stock Option (right to buy)
3.30
2016-06-09
4
A
0
30200
0.00
A
2026-06-08
Common Stock
30200
30200
D
Includes (i) remaining 3,571 previously reported shares issued as RSUs under the Plan that vest on 9/17/16, (ii) remaining 2,443 previously reported shares issued as RSUs under the Plan that vest in two equal annual installments beginning on 2/27/17, and (iii) 2,290 previously reported shares issued as RSUs under the Plan that vest in two equal annual installments beginning 4/2/17, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined under the Plan; and 11,281 previously reported shares of common stock held directly.
Grant to the Reporting Person of a stock option under the Plan, vesting in 36 equal monthly installments from the date of grant, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan prior to such time. In the event of a change in control of the Issuer, 50% of the unvested options shall become fully and immediately vested upon the closing date of such change in control, provided, however, that on the earlier of (i) the one-year anniversary of the closing date or (ii) involuntary termination, any options that remain unvested on such earlier date shall become fully and immediately vested.
Grant to the Reporting Person of a stock option under the Plan, vesting upon achievement of certain pre-specified corporate milestones related to enrollment for the GENETIC-AF clinical trial, and the timing and outcome of the interim data analysis by that trial's Data and Safety Monitoring Board, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan prior to such time. If the corporate milestones are not achieved, the Option will be cancelled.
In the event of a change in control of the Issuer, 50% of the unvested options shall become fully and immediately vested upon the closing date of such change in control, provided, however, that on the earlier of (i) the one-year anniversary of the closing date or (ii) involuntary termination, any options that remain unvested on such earlier date shall become fully and immediately vested.
/s/ Brian L. Selby, Attorney-in-Fact
2016-06-13