ARVN

SEC source: 0001209191-19-045324 · doc4.xml · derivative · entry 4

Cassidy Sean A · CIK 0001421914 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,142

Underlying: Common Stock · 2,058 shares

Expires 2028-09-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: This option award was granted on September 26, 2018. 1/4 of the shares underlying the award vested as of January 1, 2019, with the remainder of the shares vesting in equal monthly installments following January 1, 2019 through January 1, 2022.

SEC source: 0001209191-19-045324 · doc4.xml · derivative · entry 3

Cassidy Sean A · CIK 0001421914 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,948

Underlying: Common Stock · 2,212 shares

Expires 2028-09-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: This option award was granted on September 26, 2018. 1/4 of the shares underlying the award vested as of January 1, 2017, with the remainder of the shares vesting in equal monthly installments following January 1, 2017 through January 1, 2020.

SEC source: 0001209191-19-045324 · doc4.xml · derivative · entry 2

Cassidy Sean A · CIK 0001421914 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,980 shares

Expires 2028-09-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: This option award was granted on September 26, 2018, and the shares underlying the award were fully vested upon grant.

SEC source: 0001209191-19-045324 · doc4.xml · nonDerivative · entry 1

Cassidy Sean A · CIK 0001421914 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169,115

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000899243-19-020690 · doc4.xml · nonDerivative · entry 3

Cassidy Sean A · CIK 0001421914 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,865

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 27, 2019.

SEC source: 0000899243-19-020690 · doc4.xml · nonDerivative · entry 2

Cassidy Sean A · CIK 0001421914 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,925

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 27, 2019.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.88 to $27.75, 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, upon request, full information regarding the number of shares sold at each separate price within such range.

SEC source: 0000899243-19-020690 · doc4.xml · nonDerivative · entry 1

Cassidy Sean A · CIK 0001421914 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,033

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 27, 2019.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.75 to $26.72, 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, upon request, full information regarding the number of shares sold at each separate price within such range.

SEC source: 0000899243-19-020681 · doc4.xml · derivative · entry 2

Peck Ronald · CIK 0001783868 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,184

Underlying: Common Stock · 72,184 shares

Expires 2029-07-28

F3 · derivative.exercise_date: This option award was granted on July 29, 2019. 1/4 of the shares underlying the award shall vest on July 29, 2020, with the remainder of the shares vesting in equal monthly installments following July 29, 2020 through July 29, 2023.

SEC source: 0000899243-19-020681 · doc4.xml · derivative · entry 1

Peck Ronald · CIK 0001783868 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,041

Underlying: Common Stock · 16,041 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning July 29, 2020.

F2 · derivative.expiration_date: The restricted stock units vest in four equal annual installments beginning July 29, 2020.

SEC source: 0000899243-19-020450 · doc4.xml · derivative · entry 1

Norwalk Leslie V · CIK 0001533568 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,846

Underlying: Common Stock · 25,846 shares

Expires 2029-07-23

F1 · derivative.exercise_date: This option award was granted on July 24, 2019. The shares underlying the award shall vest in equal monthly installments through July 24, 2022.

SEC source: 0000899243-19-019621 · doc4.xml · derivative · entry 1

Houston John G · CIK 0001753537 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,360

Underlying: Common Stock · 13,360 shares

Expires 2028-09-25

F1 · date: On September 26, 2018, the reporting person was granted an option to purchase 13,360 shares of common stock, which was reported on Form 4 filed September 28, 2018. The option vests upon achievement of a regulatory milestone for the Issuer's estrogen receptor program. On July 11, 2019, the compensation committee of the Issuer determined that the regulatory milestone was met, resulting in vesting of the option in full.

SEC source: 0001104659-19-038785 · a4.xml · nonDerivative · entry 4

5AM VENTURES III, L.P. · CIK 0001456890 · 10% owner

5AM Partners III, LLC · CIK 0001555953 · 10% owner

5AM Co-Investors III, L.P. · CIK 0001478660 · 10% owner

DIEKMAN JOHN D · CIK 0001240357 · 10% owner

ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner

Schwab Andrew J. · CIK 0001598549 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 91,162

F2 · ownership.nature: These Securities are held of record by 5AM Co-Investors III, L.P. ("Co-Investors III").

F3 · ownership.nature: 5AM Partners III, LLC ("Partners III") is the sole general partner of Ventures III and Co-Investors III. Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners III, and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures III and Co-Investors III. Each of Partners III, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.

SEC source: 0001104659-19-038785 · a4.xml · nonDerivative · entry 3

5AM VENTURES III, L.P. · CIK 0001456890 · 10% owner

5AM Partners III, LLC · CIK 0001555953 · 10% owner

5AM Co-Investors III, L.P. · CIK 0001478660 · 10% owner

DIEKMAN JOHN D · CIK 0001240357 · 10% owner

ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner

Schwab Andrew J. · CIK 0001598549 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 3,537,261

F1 · ownership.nature: These Securities are held of record by 5AM Ventures III, L.P. ("Ventures III").

F3 · ownership.nature: 5AM Partners III, LLC ("Partners III") is the sole general partner of Ventures III and Co-Investors III. Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners III, and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures III and Co-Investors III. Each of Partners III, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.

SEC source: 0001104659-19-038785 · a4.xml · nonDerivative · entry 2

5AM VENTURES III, L.P. · CIK 0001456890 · 10% owner

5AM Partners III, LLC · CIK 0001555953 · 10% owner

5AM Co-Investors III, L.P. · CIK 0001478660 · 10% owner

DIEKMAN JOHN D · CIK 0001240357 · 10% owner

ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner

Schwab Andrew J. · CIK 0001598549 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 100,207

F2 · ownership.nature: These Securities are held of record by 5AM Co-Investors III, L.P. ("Co-Investors III").

F3 · ownership.nature: 5AM Partners III, LLC ("Partners III") is the sole general partner of Ventures III and Co-Investors III. Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners III, and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures III and Co-Investors III. Each of Partners III, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.

SEC source: 0001104659-19-038785 · a4.xml · nonDerivative · entry 1

5AM VENTURES III, L.P. · CIK 0001456890 · 10% owner

5AM Partners III, LLC · CIK 0001555953 · 10% owner

5AM Co-Investors III, L.P. · CIK 0001478660 · 10% owner

DIEKMAN JOHN D · CIK 0001240357 · 10% owner

ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner

Schwab Andrew J. · CIK 0001598549 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 3,888,216

F1 · ownership.nature: These Securities are held of record by 5AM Ventures III, L.P. ("Ventures III").

F3 · ownership.nature: 5AM Partners III, LLC ("Partners III") is the sole general partner of Ventures III and Co-Investors III. Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners III, and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures III and Co-Investors III. Each of Partners III, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.

SEC source: 0000899243-19-016634 · doc4.xml · nonDerivative · entry 1

Canaan IX L.P. · CIK 0001538676 · 10% owner

Canaan Partners IX LLC · CIK 0001654586 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,489,554

F1 · kind: On June 10, 2019, Canaan IX L.P. (the "Canaan Fund") distributed, for no consideration, 500,000 shares of Common Stock of the Issuer (the "Shares") to its limited partners and to Canaan Partners IX LLC ("Canaan IX" and, together with the Canaan Fund, the "Canaan Entities"), the general partner of the Canaan Fund, representing each such partner's pro rata interest in the shares held by the Canaan Fund. On the same date, Canaan IX distributed, for no consideration, the Shares it received from the distribution to its members in an amount equal to each such member's pro rata interest in the Shares. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F1 · price: On June 10, 2019, Canaan IX L.P. (the "Canaan Fund") distributed, for no consideration, 500,000 shares of Common Stock of the Issuer (the "Shares") to its limited partners and to Canaan Partners IX LLC ("Canaan IX" and, together with the Canaan Fund, the "Canaan Entities"), the general partner of the Canaan Fund, representing each such partner's pro rata interest in the shares held by the Canaan Fund. On the same date, Canaan IX distributed, for no consideration, the Shares it received from the distribution to its members in an amount equal to each such member's pro rata interest in the Shares. The aforementioned distributions were made in accordance with the exemptions afforded by Rule 16a-13 and Rule 16a-9 of the Securities Exchange Act of 1934, as amended.

F2 · ownership.direct: The shares are held directly by the Canaan Fund. Canaan IX is the sole general partner of the Canaan Fund and may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Canaan IX disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

SEC source: 0001104659-19-034661 · a4.xml · nonDerivative · entry 2

5AM VENTURES III, L.P. · CIK 0001456890 · 10% owner

5AM Partners III, LLC · CIK 0001555953 · 10% owner

5AM Co-Investors III, L.P. · CIK 0001478660 · 10% owner

DIEKMAN JOHN D · CIK 0001240357 · 10% owner

ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner

Schwab Andrew J. · CIK 0001598549 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 111,513

F2 · ownership.nature: These Securities are held of record by 5AM Co-Investors III, L.P. ("Co-Investors III").

F3 · ownership.nature: 5AM Partners III, LLC ("Partners III") is the sole general partner of Ventures III and Co-Investors III. Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners III, and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures III and Co-Investors III. Each of Partners III, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.

SEC source: 0001104659-19-034661 · a4.xml · nonDerivative · entry 1

5AM VENTURES III, L.P. · CIK 0001456890 · 10% owner

5AM Partners III, LLC · CIK 0001555953 · 10% owner

5AM Co-Investors III, L.P. · CIK 0001478660 · 10% owner

DIEKMAN JOHN D · CIK 0001240357 · 10% owner

ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner

Schwab Andrew J. · CIK 0001598549 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 4,326,910

F1 · ownership.nature: These Securities are held of record by 5AM Ventures III, L.P. ("Ventures III").

F3 · ownership.nature: 5AM Partners III, LLC ("Partners III") is the sole general partner of Ventures III and Co-Investors III. Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners III, and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures III and Co-Investors III. Each of Partners III, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.

SEC source: 0000899243-19-014888 · doc4.xml · derivative · entry 1

Kennedy Edward Moore Jr. · CIK 0001753859 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,923

Underlying: Common Stock · 12,923 shares

Expires 2029-05-22

F1 · derivative.exercise_date: This option award was granted on May 23, 2019. The shares underlying the award shall vest in full on May 23, 2020 or, if earlier, the date of the first meeting of the board of directors of the Issuer held after the Issuer's next annual meeting of stockholders.

SEC source: 0000899243-19-014885 · doc4.xml · derivative · entry 1

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,923

Underlying: Common Stock · 12,923 shares

Expires 2029-05-22

F1 · derivative.exercise_date: This option award was granted on May 23, 2019. The shares underlying the award shall vest in full on May 23, 2020 or, if earlier, the date of the first meeting of the board of directors of the Issuer held after the Issuer's next annual meeting of stockholders.

SEC source: 0000899243-19-014879 · doc4.xml · derivative · entry 1

Ratcliffe Liam · CIK 0001547100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,923

Underlying: Common Stock · 12,923 shares

Expires 2029-05-22

F1 · derivative.exercise_date: This option award was granted on May 23, 2019. The shares underlying the award shall vest in full on May 23, 2020 or, if earlier, the date of the first meeting of the board of directors of the Issuer held after the Issuer's next annual meeting of stockholders.

SEC source: 0000899243-19-014878 · doc4.xml · derivative · entry 1

Loven Jakob · CIK 0001753644 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,923

Underlying: Common Stock · 12,923 shares

Expires 2029-05-22

F1 · derivative.exercise_date: This option award was granted on May 23, 2019. The shares underlying the award shall vest in full on May 23, 2020 or, if earlier, the date of the first meeting of the board of directors of the Issuer held after the Issuer's next annual meeting of stockholders.

SEC source: 0000899243-19-014881 · doc4.xml · derivative · entry 1

Morrison Briggs · CIK 0001654430 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,923

Underlying: Common Stock · 12,923 shares

Expires 2029-05-22

F1 · derivative.exercise_date: This option award was granted on May 23, 2019. The shares underlying the award shall vest in full on May 23, 2020 or, if earlier, the date of the first meeting of the board of directors of the Issuer held after the Issuer's next annual meeting of stockholders.

SEC source: 0000899243-19-014876 · doc4.xml · derivative · entry 1

Margus Bradley Albert · CIK 0001753491 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,923

Underlying: Common Stock · 12,923 shares

Expires 2029-05-22

F1 · derivative.exercise_date: This option award was granted on May 23, 2019. The shares underlying the award shall vest in full on May 23, 2020 or, if earlier, the date of the first meeting of the board of directors of the Issuer held after the Issuer's next annual meeting of stockholders.

SEC source: 0000899243-19-014874 · doc4.xml · derivative · entry 1

PARMAR KUSH · CIK 0001664281 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,923

Underlying: Common Stock · 12,923 shares

Expires 2029-05-22

F1 · derivative.exercise_date: This option award was granted on May 23, 2019. The shares underlying the award shall vest in full on May 23, 2020 or, if earlier, the date of the first meeting of the board of directors of the Issuer held after the Issuer's next annual meeting of stockholders.

SEC source: 0000899243-19-009575 · doc4.xml · nonDerivative · entry 1

Taylor Ian · CIK 0001753281 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,496

SEC source: 0001104659-19-019024 · a4.xml · nonDerivative · entry 2

5AM VENTURES III, L.P. · CIK 0001456890 · 10% owner

5AM Co-Investors III, L.P. · CIK 0001478660 · 10% owner

5AM Partners III, LLC · CIK 0001555953 · 10% owner

ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner

DIEKMAN JOHN D · CIK 0001240357 · 10% owner

Schwab Andrew J. · CIK 0001598549 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 116,287

F2 · ownership.nature: These Securities are held of record by 5AM Co-Investors III, L.P. ("Co-Investors III").

F3 · ownership.nature: 5AM Partners III, LLC ("Partners III") is the sole general partner of Ventures III and Co-Investors III. Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners III, and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures III and Co-Investors III. Each of Partners III, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.

SEC source: 0001104659-19-019024 · a4.xml · nonDerivative · entry 1

5AM VENTURES III, L.P. · CIK 0001456890 · 10% owner

5AM Co-Investors III, L.P. · CIK 0001478660 · 10% owner

5AM Partners III, LLC · CIK 0001555953 · 10% owner

ROCKLAGE SCOTT M · CIK 0001219014 · 10% owner

DIEKMAN JOHN D · CIK 0001240357 · 10% owner

Schwab Andrew J. · CIK 0001598549 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 4,512,136

F1 · ownership.nature: These Securities are held of record by 5AM Ventures III, L.P. ("Ventures III").

F3 · ownership.nature: 5AM Partners III, LLC ("Partners III") is the sole general partner of Ventures III and Co-Investors III. Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners III, and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures III and Co-Investors III. Each of Partners III, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.

SEC source: 0000899243-19-009401 · doc4.xml · nonDerivative · entry 1

SHANNON TIMOTHY M · CIK 0001207114 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,898

SEC source: 0000899243-19-006234 · doc4.xml · derivative · entry 2

Taylor Ian · CIK 0001753281 · Senior Vice President, Biology

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,427

Underlying: Common Stock · 65,427 shares

Expires 2029-02-28

F3 · derivative.exercise_date: This option award was granted on March 1, 2019. 1/4 of the shares underlying the award shall vest on March 1, 2020, with the remainder of the shares vesting in equal monthly installments following March 1, 2020 through March 1, 2023.

SEC source: 0000899243-19-006234 · doc4.xml · derivative · entry 1

Taylor Ian · CIK 0001753281 · Senior Vice President, Biology

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,742

Underlying: Common Stock · 10,742 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning March 1, 2020.

F2 · derivative.expiration_date: The restricted stock units vest in four equal annual installments beginning March 1, 2020.

SEC source: 0000899243-19-006227 · doc4.xml · derivative · entry 2

Cassidy Sean A · CIK 0001421914 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,752

Underlying: Common Stock · 87,752 shares

Expires 2029-02-28

F3 · derivative.exercise_date: This option award was granted on March 1, 2019. 1/4 of the shares underlying the award shall vest on March 1, 2020, with the remainder of the shares vesting in equal monthly installments following March 1, 2020 through March 1, 2023.

SEC source: 0000899243-19-006227 · doc4.xml · derivative · entry 1

Cassidy Sean A · CIK 0001421914 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,165

Underlying: Common Stock · 19,165 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning March 1, 2020.

F2 · derivative.expiration_date: The restricted stock units vest in four equal annual installments beginning March 1, 2020.

SEC source: 0000899243-19-006237 · doc4.xml · derivative · entry 2

Houston John G · CIK 0001753537 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 254,597

Underlying: Common Stock · 254,597 shares

Expires 2029-02-28

F3 · derivative.exercise_date: This option award was granted on March 1, 2019. 1/4 of the shares underlying the award shall vest on March 1, 2020, with the remainder of the shares vesting in equal monthly installments following March 1, 2020 through March 1, 2023.

SEC source: 0000899243-19-006237 · doc4.xml · derivative · entry 1

Houston John G · CIK 0001753537 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,042

Underlying: Common Stock · 70,042 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning March 1, 2020.

F2 · derivative.expiration_date: The restricted stock units vest in four equal annual installments beginning March 1, 2020.

SEC source: 0000899243-19-006233 · doc4.xml · derivative · entry 4

Crew Andrew · CIK 0001753292 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · By wife

Disclosed balance after: 1,924

Underlying: Common Stock · 1,924 shares

Expires 2029-02-28

F6 · derivative.exercise_date: This option award was granted on March 1, 2019. 1/4 of the shares underlying the award shall vest on March 1, 2020, with the remainder of the shares vesting in equal monthly installments following March 1, 2020 through March 1, 2023.

SEC source: 0000899243-19-006233 · doc4.xml · derivative · entry 3

Crew Andrew · CIK 0001753292 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · By wife

Disclosed balance after: 776

Underlying: Common Stock · 776 shares

Expires not disclosed

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning March 1, 2020.

F5 · derivative.expiration_date: The restricted stock units vest in four equal annual installments beginning March 1, 2020.

SEC source: 0000899243-19-006233 · doc4.xml · derivative · entry 2

Crew Andrew · CIK 0001753292 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,745

Underlying: Common Stock · 60,745 shares

Expires 2029-02-28

F3 · derivative.exercise_date: This option award was granted on March 1, 2019. 1/4 of the shares underlying the award shall vest on March 1, 2020, with the remainder of the shares vesting in equal monthly installments following March 1, 2020 through March 1, 2023.

SEC source: 0000899243-19-006233 · doc4.xml · derivative · entry 1

Crew Andrew · CIK 0001753292 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,734

Underlying: Common Stock · 10,734 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning March 1, 2020.

F2 · derivative.expiration_date: The restricted stock units vest in four equal annual installments beginning March 1, 2020.

SEC source: 0000899243-19-001732 · doc4.xml · derivative · entry 1

Houston John G · CIK 0001753537 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,360

Underlying: Common Stock · 13,360 shares

Expires 2028-09-25

F1 · date: On September 26, 2018, the reporting person was granted an option to purchase 13,360 shares of common stock, which was reported on Form 4 filed September 28, 2018. The option vests upon achievement of a regulatory milestone for the Issuer's androgen receptor program. On January 18, 2019, the compensation committee of the Issuer determined that the regulatory milestone was met, resulting in vesting of the option in full.

SEC source: 0001193805-18-001183 · e617963_4-arvinas.xml · derivative · entry 9

Flynn James E · CIK 0001352546 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt IV, L.P. · CIK 0001713467 · 10% owner · Possible Member of a 10% Group

DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · Possible Member of a 10% Group

Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of a 10% Group

Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · Possible Member of a 10% Group

Deerfield Private Design Fund IV, L.P. · CIK 0001680307 · 10% owner · Possible Member of a 10% Group

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Deerfield Special Situations Fund, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 307,078 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Series C Preferred Stock automatically converted into 0.3076923 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-3.25 reverse stock split effected by the Issuer in connection with its initial public offering).

F1 · price: Each share of Series C Preferred Stock automatically converted into 0.3076923 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-3.25 reverse stock split effected by the Issuer in connection with its initial public offering).

F1 · derivative.exercise_date: Each share of Series C Preferred Stock automatically converted into 0.3076923 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-3.25 reverse stock split effected by the Issuer in connection with its initial public offering).

F1 · derivative.expiration_date: Each share of Series C Preferred Stock automatically converted into 0.3076923 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-3.25 reverse stock split effected by the Issuer in connection with its initial public offering).

F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III and Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.

F3 · ownership.nature: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001193805-18-001183 · e617963_4-arvinas.xml · derivative · entry 8

Flynn James E · CIK 0001352546 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt IV, L.P. · CIK 0001713467 · 10% owner · Possible Member of a 10% Group

DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · Possible Member of a 10% Group

Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of a 10% Group

Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · Possible Member of a 10% Group

Deerfield Private Design Fund IV, L.P. · CIK 0001680307 · 10% owner · Possible Member of a 10% Group

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Deerfield Private Design Fund IV, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 307,078 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Series C Preferred Stock automatically converted into 0.3076923 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-3.25 reverse stock split effected by the Issuer in connection with its initial public offering).

F1 · price: Each share of Series C Preferred Stock automatically converted into 0.3076923 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-3.25 reverse stock split effected by the Issuer in connection with its initial public offering).

F1 · derivative.exercise_date: Each share of Series C Preferred Stock automatically converted into 0.3076923 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-3.25 reverse stock split effected by the Issuer in connection with its initial public offering).

F1 · derivative.expiration_date: Each share of Series C Preferred Stock automatically converted into 0.3076923 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-3.25 reverse stock split effected by the Issuer in connection with its initial public offering).

F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III and Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.

F3 · ownership.nature: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001193805-18-001183 · e617963_4-arvinas.xml · derivative · entry 7

Flynn James E · CIK 0001352546 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt IV, L.P. · CIK 0001713467 · 10% owner · Possible Member of a 10% Group

DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · Possible Member of a 10% Group

Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of a 10% Group

Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · Possible Member of a 10% Group

Deerfield Private Design Fund IV, L.P. · CIK 0001680307 · 10% owner · Possible Member of a 10% Group

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Deerfield Private Design Fund III, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 307,078 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Series C Preferred Stock automatically converted into 0.3076923 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-3.25 reverse stock split effected by the Issuer in connection with its initial public offering).

F1 · price: Each share of Series C Preferred Stock automatically converted into 0.3076923 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-3.25 reverse stock split effected by the Issuer in connection with its initial public offering).

F1 · derivative.exercise_date: Each share of Series C Preferred Stock automatically converted into 0.3076923 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-3.25 reverse stock split effected by the Issuer in connection with its initial public offering).

F1 · derivative.expiration_date: Each share of Series C Preferred Stock automatically converted into 0.3076923 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-3.25 reverse stock split effected by the Issuer in connection with its initial public offering).

F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III and Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.

F3 · ownership.nature: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001193805-18-001183 · e617963_4-arvinas.xml · nonDerivative · entry 6

Flynn James E · CIK 0001352546 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt IV, L.P. · CIK 0001713467 · 10% owner · Possible Member of a 10% Group

DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · Possible Member of a 10% Group

Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of a 10% Group

Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · Possible Member of a 10% Group

Deerfield Private Design Fund IV, L.P. · CIK 0001680307 · 10% owner · Possible Member of a 10% Group

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Deerfield Private Design Fund IV, L.P.

Disclosed balance after: 411,244

F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III and Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.

F3 · ownership.nature: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001193805-18-001183 · e617963_4-arvinas.xml · nonDerivative · entry 5

Flynn James E · CIK 0001352546 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt IV, L.P. · CIK 0001713467 · 10% owner · Possible Member of a 10% Group

DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · Possible Member of a 10% Group

Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of a 10% Group

Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · Possible Member of a 10% Group

Deerfield Private Design Fund IV, L.P. · CIK 0001680307 · 10% owner · Possible Member of a 10% Group

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Deerfield Private Design Fund III, L.P.

Disclosed balance after: 411,245

F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III and Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.

F3 · ownership.nature: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001193805-18-001183 · e617963_4-arvinas.xml · nonDerivative · entry 4

Flynn James E · CIK 0001352546 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt IV, L.P. · CIK 0001713467 · 10% owner · Possible Member of a 10% Group

DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · Possible Member of a 10% Group

Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of a 10% Group

Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · Possible Member of a 10% Group

Deerfield Private Design Fund IV, L.P. · CIK 0001680307 · 10% owner · Possible Member of a 10% Group

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Deerfield Special Situations Fund, L.P.

Disclosed balance after: 411,245

F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III and Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.

F3 · ownership.nature: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001193805-18-001183 · e617963_4-arvinas.xml · nonDerivative · entry 3

Flynn James E · CIK 0001352546 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt IV, L.P. · CIK 0001713467 · 10% owner · Possible Member of a 10% Group

DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · Possible Member of a 10% Group

Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of a 10% Group

Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · Possible Member of a 10% Group

Deerfield Private Design Fund IV, L.P. · CIK 0001680307 · 10% owner · Possible Member of a 10% Group

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Deerfield Private Design Fund IV, L.P.

Disclosed balance after: 307,078

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share of Series C Preferred Stock automatically converted into 0.3076923 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-3.25 reverse stock split effected by the Issuer in connection with its initial public offering).

F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III and Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.

F3 · ownership.nature: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001193805-18-001183 · e617963_4-arvinas.xml · nonDerivative · entry 2

Flynn James E · CIK 0001352546 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt IV, L.P. · CIK 0001713467 · 10% owner · Possible Member of a 10% Group

DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · Possible Member of a 10% Group

Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of a 10% Group

Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · Possible Member of a 10% Group

Deerfield Private Design Fund IV, L.P. · CIK 0001680307 · 10% owner · Possible Member of a 10% Group

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Deerfield Private Design Fund III, L.P.

Disclosed balance after: 307,078

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share of Series C Preferred Stock automatically converted into 0.3076923 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-3.25 reverse stock split effected by the Issuer in connection with its initial public offering).

F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III and Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.

F3 · ownership.nature: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001193805-18-001183 · e617963_4-arvinas.xml · nonDerivative · entry 1

Flynn James E · CIK 0001352546 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt L.P. · CIK 0001010823 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt III, L.P. · CIK 0001610540 · 10% owner · Possible Member of a 10% Group

Deerfield Mgmt IV, L.P. · CIK 0001713467 · 10% owner · Possible Member of a 10% Group

DEERFIELD MANAGEMENT COMPANY, L.P. (SERIES C) · CIK 0001009258 · 10% owner · Possible Member of a 10% Group

Deerfield Special Situations Fund, L.P. · CIK 0001354395 · 10% owner · Possible Member of a 10% Group

Deerfield Private Design Fund III, L.P. · CIK 0001603333 · 10% owner · Possible Member of a 10% Group

Deerfield Private Design Fund IV, L.P. · CIK 0001680307 · 10% owner · Possible Member of a 10% Group

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Deerfield Special Situations Fund, L.P.

Disclosed balance after: 307,078

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share of Series C Preferred Stock automatically converted into 0.3076923 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-3.25 reverse stock split effected by the Issuer in connection with its initial public offering).

F2 · ownership.nature: This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt IV, L.P. is the general partner of Deerfield Private Design Fund IV, L.P. ("Fund IV"). Deerfield Mgmt, L.P. is the general partner of Deerfield Special Situations Fund, L.P. (collectively with Fund III and Fund IV, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt III, L.P., Deerfield Mgmt IV, L.P., Deerfield Mgmt, L.P. and Deerfield Management Company, L.P.

F3 · ownership.nature: In accordance with Instruction 4(b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0000899243-18-026076 · doc4.xml · nonDerivative · entry 1

Kennedy Edward Moore Jr. · CIK 0001753859 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,385

F1 · shares: Reflects shares of the Issuer's Common Stock that were purchased in connection with the Issuer's initial public offering.