0001209191-17-015978.txt : 20170301 0001209191-17-015978.hdr.sgml : 20170301 20170301171037 ACCESSION NUMBER: 0001209191-17-015978 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170227 FILED AS OF DATE: 20170301 DATE AS OF CHANGE: 20170301 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: BRISTOW MICHAEL R CENTRAL INDEX KEY: 0001266125 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-22873 FILM NUMBER: 17655351 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-02-27 0 0000907654 ARCA biopharma, Inc. ABIO 0001266125 BRISTOW MICHAEL R 11080 CIRCLEPOINT ROAD SUITE 140 WESTMINSTER CO 80020 1 1 0 0 Pres. & Chief Executive Offic Common Stock 2017-02-28 4 S 0 763 2.61 D 41875 D Common Stock 19986 I By InvestocorTrust as sole Trustee Common Stock 25459 I By NFS Custodian for Michael Bristow's IRA Stock Option (right to buy) 2.60 2017-02-27 4 A 0 41600 0.00 A 2027-02-26 Common Stock 41600 41600 D Represents shares of common stock sold pursuant to a Rule 10b5-1 Plan adopted by the Reporting Person with respect to the vesting of previously reported Restricted Stock Units ("RSUs") granted to the Reporting Person under the Issuer's 2013 Amended and Restated Equity Incentive Plan (the "Plan") Includes (i) remaining 2,025 previously reported shares issued as RSUs under the Plan that vest on 2/27/18, and (ii) 4,581 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 35,269 previously reported shares of common stock held directly. Grant to the Reporting Person of a stock option under the Plan, 50% vesting upon achievement of certain pre-specified corporate milestone related to the outcome of the interim data analysis by that trial's Data and Safety Monitoring Board, and if the milestone is achieved, the remainder of the grant will vest on March 31, 2018, 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 milestone is 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 2017-03-01