New insider Cacace Angela M claimed ownership of 35,857 shares (SEC Form 3)
$ARVN
Biotechnology: Pharmaceutical Preparations
Health Care
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 06/17/2024 |
3. Issuer Name and Ticker or Trading Symbol
ARVINAS, INC. [ ARVN ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
|---|---|---|---|
| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock | 8,437(1) | D | |
| Common Stock | 15,835(2) | D | |
| Common Stock | 11,585(3) | D | |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Stock Option (right to buy) | (4) | 02/22/2034 | Common Stock | 23,425 | $47 | D | |
| Stock Option (right to buy) | (5) | 02/21/2033 | Common Stock | 38,350 | $34.37 | D | |
| Stock Option (right to buy) | (6) | 02/22/2032 | Common Stock | 52,400 | $64.19 | D | |
| Stock Option (right to buy) | (7) | 02/25/2031 | Common Stock | 37,000 | $78.3 | D | |
| Stock Option (right to buy) | (8) | 02/26/2030 | Common Stock | 26,667 | $47.38 | D | |
| Stock Option (right to buy) | (9) | 02/28/2029 | Common Stock | 20,470 | $19.36 | D | |
| Stock Option (right to buy) | (10) | 09/25/2028 | Common Stock | 33,654 | $16 | D | |
| Explanation of Responses: |
| 1. Includes 919 shares of common stock of the issuer previously purchased by the reporting person under the issuer's 2018 Employee Stock Purchase Plan. |
| 2. The restricted stock units (each, an "RSU") were granted by the issuer on February 23, 2024, pursuant to its 2018 Stock Incentive Plan (the "Plan") and each RSU represents a contingent right to receive one share of the issuer's common stock upon settlement for no consideration. The RSUs vest over two years: 1/2 of the shares underlying the award shall vest on February 23, 2025, with the remainder of the shares vesting on February 23, 2026. |
| 3. The RSUs were granted by the Issuer on February 22, 2023, pursuant to the Plan and each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. The RSUs vest over four years: 1/4 of the shares underlying the award vested on February 22, 2024, with the remainder of the shares vesting in equal annual installments thereafter through February 23, 2027. The RSU amount reflects that 1,190 shares were sold to pay for taxes following the February 22, 2024 vesting. |
| 4. The option was granted by the Issuer on February 23, 2024, pursuant to the Plan. The shares underlying the option vest over two years: 1/2 of the shares underlying the award shall vest on February 23, 2025, with the remainder of the shares vesting on February 23, 2026. |
| 5. The option was granted by the Issuer on February 22, 2023, pursuant to the Plan. The shares underlying the option vest over four years: 1/4 of the shares underlying the award vested on February 22, 2024, with the remainder of the shares vesting in equal monthly installments following February 22, 2024 through February 23, 2027. |
| 6. The option was granted by the Issuer on February 23, 2022, pursuant to the Plan. The shares underlying the option vest over four years: 1/4 of the shares underlying the award vested on February 23, 2023, with the remainder of the shares vesting in equal monthly installments following February 23, 2023 through February 23, 2026. |
| 7. The option was granted by the Issuer on February 26, 2021, pursuant to the Plan. The shares underlying the option vest over four years: 1/4 of the shares underlying the award vested on February 26, 2022, with the remainder of the shares vesting in equal monthly installments following February 23, 2022 through February 23, 2025. |
| 8. The option was granted by the Issuer on February 27, 2020, pursuant to the Plan. The shares underlying the option vested over four years: 1/4 of the shares underlying the award vested on February 27, 2021 and the remainder of the shares vested in equal monthly installments following February 27, 2021 through February 27, 2024. |
| 9. The option was granted by the Issuer on March 1, 2019, pursuant to the Plan. The shares underlying the option vested over four years: 1/4 of the shares underlying the award vested on March 1, 2020 and the remainder of the shares vested in equal monthly installments following March 1, 2020 through March 1, 2023. |
| 10. The option was granted by the Issuer on September 26, 2018, pursuant to the Plan. The shares underlying the option vested over four years: 1/4 of the shares underlying the award vested on May 14, 2019 and the remainder of the shares vested in equal monthly installments following May 14, 2019 through May 14, 2022. |
| Remarks: |
| /s/ Jared Freedberg, as attorney-in-fact for Angela M. Cacace | 06/18/2024 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||