person · Reporting owner

SUSSMAN S DONALD

Disclosed activity across 2 companies

Tapewire entity: 116552
SEC CIK: 0001044734

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Arno Therapeutics, IncARNI · Entity 179806	See Footnote 1	December 30, 2016	January 03, 2017

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Arno Therapeutics, Inc

Report date December 30, 2016 · Filed January 03, 2017

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	714,285	Reported balance After 2016-12-30 transaction · row 1 1 source row Row 1 · 2016-12-30 · Sale · Disposed 4,285,111 · Balance 714,285 F1: Commercial Street Capital LLC ("CSC") has a contractual right to designate one member of the Issuer's board of directors and has designated Steven B. Ruchefsky, a director of the Issuer, pursuant to such right. Accordingly, the Reporting Person, as a co-managing director of CSC, may be deemed to be a director by deputization for purposes of Section 16 of the Exchange Act. F2: These shares of common stock or warrants exercisable for shares of common stock, as applicable, represent a pro rata distribution from CSC, and not a purchase or sale, of such shares or warrants by CSC to its members without consideration. F3: These reported securities are included within a sale by the Reporting Person of all such securities for an aggregate price of $1,000.
2012 Series A WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $1.14 · Expires 2017-11-26	Direct	0	Reported balance After 2016-12-30 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2016-12-30 · Sale · Disposed 1,605,809 · Balance 0 F4: As a result of the Issuer's 8/15/16 private placement of common stock and Series F Warrants, the exercise prices and shares underlying the 2012 Series A Warrants and 2013 Series D Warrants were automatically adjusted to the exercise price and shares reflected pursuant to anti-dilution adjustment provisions in such warrants. F3: These reported securities are included within a sale by the Reporting Person of all such securities for an aggregate price of $1,000. F2: These shares of common stock or warrants exercisable for shares of common stock, as applicable, represent a pro rata distribution from CSC, and not a purchase or sale, of such shares or warrants by CSC to its members without consideration.
2013 Series D WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $1.75 · Expires 2018-10-29	Direct	0	Reported balance After 2016-12-30 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2016-12-30 · Sale · Disposed 1,383,702 · Balance 0 F4: As a result of the Issuer's 8/15/16 private placement of common stock and Series F Warrants, the exercise prices and shares underlying the 2012 Series A Warrants and 2013 Series D Warrants were automatically adjusted to the exercise price and shares reflected pursuant to anti-dilution adjustment provisions in such warrants. F3: These reported securities are included within a sale by the Reporting Person of all such securities for an aggregate price of $1,000. F2: These shares of common stock or warrants exercisable for shares of common stock, as applicable, represent a pro rata distribution from CSC, and not a purchase or sale, of such shares or warrants by CSC to its members without consideration.
2016 Series F Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.44 · Expires 2021-08-15	Direct	357,142	Reported balance Holding disclosure · report date 2016-12-30 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance 357,142

Filing footnotes · ownership attribution and instrument terms

F1: Commercial Street Capital LLC ("CSC") has a contractual right to designate one member of the Issuer's board of directors and has designated Steven B. Ruchefsky, a director of the Issuer, pursuant to such right. Accordingly, the Reporting Person, as a co-managing director of CSC, may be deemed to be a director by deputization for purposes of Section 16 of the Exchange Act.

F2: These shares of common stock or warrants exercisable for shares of common stock, as applicable, represent a pro rata distribution from CSC, and not a purchase or sale, of such shares or warrants by CSC to its members without consideration.

F3: These reported securities are included within a sale by the Reporting Person of all such securities for an aggregate price of $1,000.

F4: As a result of the Issuer's 8/15/16 private placement of common stock and Series F Warrants, the exercise prices and shares underlying the 2012 Series A Warrants and 2013 Series D Warrants were automatically adjusted to the exercise price and shares reflected pursuant to anti-dilution adjustment provisions in such warrants.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Eaton Vance Ltd Duration Income Fund

Report date February 21, 2023 · Filed February 23, 2023

Jointly reported with Paloma Partners Management Co, Sunrise Partners Limited Partnership, PALOMA INTERNATIONAL L P, Paloma Partners Advisors LP, PALOMA PARTNERS ADVISORS, INC., Hayt Gregory S.

Section 16 reporting ended · disclosed 2023-02-23. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Series A Auction Preferred SharesSEC Table I · non-derivative	IndirectSee Explanation of Responses	Reported balance After 2023-02-21 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2023-02-21 · Sale · Disposed 194 · Balance 0 F1: These Auction Preferred Shares are held directly by Sunrise Partners Limited Partnership ("Sunrise"). Paloma International, L.P. is the parent of Sunrise. Each of Paloma Partners Management Company and Paloma Partners Advisors LP serves as general partner of Paloma International, L.P. Paloma Partners Advisors, Inc. serves as general partner of Paloma Partners Advisors LP. Donald Sussman serves as President of Paloma Partners Advisors, Inc. Donald Sussman and Gregory Hayt serve as Directors of Paloma Partners Management Company. F2: Each of Paloma International, L.P., Paloma Partners Management Company, Paloma Partners Advisors LP, Paloma Partners Advisors, Inc., Donald Sussman and Gregory Hayt disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Series B Auction Preferred SharesSEC Table I · non-derivative	IndirectSee Explanation of Responses	Reported balance After 2023-02-21 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2023-02-21 · Sale · Disposed 164 · Balance 0 F1: These Auction Preferred Shares are held directly by Sunrise Partners Limited Partnership ("Sunrise"). Paloma International, L.P. is the parent of Sunrise. Each of Paloma Partners Management Company and Paloma Partners Advisors LP serves as general partner of Paloma International, L.P. Paloma Partners Advisors, Inc. serves as general partner of Paloma Partners Advisors LP. Donald Sussman serves as President of Paloma Partners Advisors, Inc. Donald Sussman and Gregory Hayt serve as Directors of Paloma Partners Management Company. F2: Each of Paloma International, L.P., Paloma Partners Management Company, Paloma Partners Advisors LP, Paloma Partners Advisors, Inc., Donald Sussman and Gregory Hayt disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Series C Auction Preferred SharesSEC Table I · non-derivative	IndirectSee Explanation of Responses	Reported balance After 2023-02-21 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2023-02-21 · Sale · Disposed 366 · Balance 0 F1: These Auction Preferred Shares are held directly by Sunrise Partners Limited Partnership ("Sunrise"). Paloma International, L.P. is the parent of Sunrise. Each of Paloma Partners Management Company and Paloma Partners Advisors LP serves as general partner of Paloma International, L.P. Paloma Partners Advisors, Inc. serves as general partner of Paloma Partners Advisors LP. Donald Sussman serves as President of Paloma Partners Advisors, Inc. Donald Sussman and Gregory Hayt serve as Directors of Paloma Partners Management Company. F2: Each of Paloma International, L.P., Paloma Partners Management Company, Paloma Partners Advisors LP, Paloma Partners Advisors, Inc., Donald Sussman and Gregory Hayt disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Series D Auction Preferred SharesSEC Table I · non-derivative	IndirectSee Explanation of Responses	Reported balance After 2023-02-21 transaction · row 4 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 4 · 2023-02-21 · Sale · Disposed 154 · Balance 0 F1: These Auction Preferred Shares are held directly by Sunrise Partners Limited Partnership ("Sunrise"). Paloma International, L.P. is the parent of Sunrise. Each of Paloma Partners Management Company and Paloma Partners Advisors LP serves as general partner of Paloma International, L.P. Paloma Partners Advisors, Inc. serves as general partner of Paloma Partners Advisors LP. Donald Sussman serves as President of Paloma Partners Advisors, Inc. Donald Sussman and Gregory Hayt serve as Directors of Paloma Partners Management Company. F2: Each of Paloma International, L.P., Paloma Partners Management Company, Paloma Partners Advisors LP, Paloma Partners Advisors, Inc., Donald Sussman and Gregory Hayt disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
Series E Auction Preferred SharesSEC Table I · non-derivative	IndirectSee Explanation of Responses	Reported balance After 2023-02-21 transaction · row 5 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 5 · 2023-02-21 · Sale · Disposed 134 · Balance 0 F1: These Auction Preferred Shares are held directly by Sunrise Partners Limited Partnership ("Sunrise"). Paloma International, L.P. is the parent of Sunrise. Each of Paloma Partners Management Company and Paloma Partners Advisors LP serves as general partner of Paloma International, L.P. Paloma Partners Advisors, Inc. serves as general partner of Paloma Partners Advisors LP. Donald Sussman serves as President of Paloma Partners Advisors, Inc. Donald Sussman and Gregory Hayt serve as Directors of Paloma Partners Management Company. F2: Each of Paloma International, L.P., Paloma Partners Management Company, Paloma Partners Advisors LP, Paloma Partners Advisors, Inc., Donald Sussman and Gregory Hayt disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: These Auction Preferred Shares are held directly by Sunrise Partners Limited Partnership ("Sunrise"). Paloma International, L.P. is the parent of Sunrise. Each of Paloma Partners Management Company and Paloma Partners Advisors LP serves as general partner of Paloma International, L.P. Paloma Partners Advisors, Inc. serves as general partner of Paloma Partners Advisors LP. Donald Sussman serves as President of Paloma Partners Advisors, Inc. Donald Sussman and Gregory Hayt serve as Directors of Paloma Partners Management Company.

F2: Each of Paloma International, L.P., Paloma Partners Management Company, Paloma Partners Advisors LP, Paloma Partners Advisors, Inc., Donald Sussman and Gregory Hayt disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
February 21, 2023 Filed Feb 23, 2023 16:32 UTC	Eaton Vance Ltd Duration Income Fund EVV · Entity 8889	SaleSeries E Auction Preferred Shares	134	$21,750.00	$2,914,500.00	Disclosure SEC source: 0001140361-23-008299 · form4.xml · nonDerivative · entry 5 Paloma Partners Management Co · CIK 0001103882 · 10% owner Sunrise Partners Limited Partnership · CIK 0001369507 · 10% owner PALOMA INTERNATIONAL L P · CIK 0001270603 · 10% owner Paloma Partners Advisors LP · CIK 0001633870 · 10% owner PALOMA PARTNERS ADVISORS, INC. · CIK 0001924140 · 10% owner Hayt Gregory S. · CIK 0001924125 · 10% owner SUSSMAN S DONALD · CIK 0001044734 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 0 F1 · ownership.nature: These Auction Preferred Shares are held directly by Sunrise Partners Limited Partnership ("Sunrise"). Paloma International, L.P. is the parent of Sunrise. Each of Paloma Partners Management Company and Paloma Partners Advisors LP serves as general partner of Paloma International, L.P. Paloma Partners Advisors, Inc. serves as general partner of Paloma Partners Advisors LP. Donald Sussman serves as President of Paloma Partners Advisors, Inc. Donald Sussman and Gregory Hayt serve as Directors of Paloma Partners Management Company. F2 · ownership.nature: Each of Paloma International, L.P., Paloma Partners Management Company, Paloma Partners Advisors LP, Paloma Partners Advisors, Inc., Donald Sussman and Gregory Hayt disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document
February 21, 2023 Filed Feb 23, 2023 16:32 UTC	Eaton Vance Ltd Duration Income Fund EVV · Entity 8889	SaleSeries D Auction Preferred Shares	154	$21,750.00	$3,349,500.00	Disclosure SEC source: 0001140361-23-008299 · form4.xml · nonDerivative · entry 4 Paloma Partners Management Co · CIK 0001103882 · 10% owner Sunrise Partners Limited Partnership · CIK 0001369507 · 10% owner PALOMA INTERNATIONAL L P · CIK 0001270603 · 10% owner Paloma Partners Advisors LP · CIK 0001633870 · 10% owner PALOMA PARTNERS ADVISORS, INC. · CIK 0001924140 · 10% owner Hayt Gregory S. · CIK 0001924125 · 10% owner SUSSMAN S DONALD · CIK 0001044734 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 0 F1 · ownership.nature: These Auction Preferred Shares are held directly by Sunrise Partners Limited Partnership ("Sunrise"). Paloma International, L.P. is the parent of Sunrise. Each of Paloma Partners Management Company and Paloma Partners Advisors LP serves as general partner of Paloma International, L.P. Paloma Partners Advisors, Inc. serves as general partner of Paloma Partners Advisors LP. Donald Sussman serves as President of Paloma Partners Advisors, Inc. Donald Sussman and Gregory Hayt serve as Directors of Paloma Partners Management Company. F2 · ownership.nature: Each of Paloma International, L.P., Paloma Partners Management Company, Paloma Partners Advisors LP, Paloma Partners Advisors, Inc., Donald Sussman and Gregory Hayt disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document
February 21, 2023 Filed Feb 23, 2023 16:32 UTC	Eaton Vance Ltd Duration Income Fund EVV · Entity 8889	SaleSeries C Auction Preferred Shares	366	$21,750.00	$7,960,500.00	Disclosure SEC source: 0001140361-23-008299 · form4.xml · nonDerivative · entry 3 Paloma Partners Management Co · CIK 0001103882 · 10% owner Sunrise Partners Limited Partnership · CIK 0001369507 · 10% owner PALOMA INTERNATIONAL L P · CIK 0001270603 · 10% owner Paloma Partners Advisors LP · CIK 0001633870 · 10% owner PALOMA PARTNERS ADVISORS, INC. · CIK 0001924140 · 10% owner Hayt Gregory S. · CIK 0001924125 · 10% owner SUSSMAN S DONALD · CIK 0001044734 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 0 F1 · ownership.nature: These Auction Preferred Shares are held directly by Sunrise Partners Limited Partnership ("Sunrise"). Paloma International, L.P. is the parent of Sunrise. Each of Paloma Partners Management Company and Paloma Partners Advisors LP serves as general partner of Paloma International, L.P. Paloma Partners Advisors, Inc. serves as general partner of Paloma Partners Advisors LP. Donald Sussman serves as President of Paloma Partners Advisors, Inc. Donald Sussman and Gregory Hayt serve as Directors of Paloma Partners Management Company. F2 · ownership.nature: Each of Paloma International, L.P., Paloma Partners Management Company, Paloma Partners Advisors LP, Paloma Partners Advisors, Inc., Donald Sussman and Gregory Hayt disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document
February 21, 2023 Filed Feb 23, 2023 16:32 UTC	Eaton Vance Ltd Duration Income Fund EVV · Entity 8889	SaleSeries B Auction Preferred Shares	164	$21,750.00	$3,567,000.00	Disclosure SEC source: 0001140361-23-008299 · form4.xml · nonDerivative · entry 2 Paloma Partners Management Co · CIK 0001103882 · 10% owner Sunrise Partners Limited Partnership · CIK 0001369507 · 10% owner PALOMA INTERNATIONAL L P · CIK 0001270603 · 10% owner Paloma Partners Advisors LP · CIK 0001633870 · 10% owner PALOMA PARTNERS ADVISORS, INC. · CIK 0001924140 · 10% owner Hayt Gregory S. · CIK 0001924125 · 10% owner SUSSMAN S DONALD · CIK 0001044734 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 0 F1 · ownership.nature: These Auction Preferred Shares are held directly by Sunrise Partners Limited Partnership ("Sunrise"). Paloma International, L.P. is the parent of Sunrise. Each of Paloma Partners Management Company and Paloma Partners Advisors LP serves as general partner of Paloma International, L.P. Paloma Partners Advisors, Inc. serves as general partner of Paloma Partners Advisors LP. Donald Sussman serves as President of Paloma Partners Advisors, Inc. Donald Sussman and Gregory Hayt serve as Directors of Paloma Partners Management Company. F2 · ownership.nature: Each of Paloma International, L.P., Paloma Partners Management Company, Paloma Partners Advisors LP, Paloma Partners Advisors, Inc., Donald Sussman and Gregory Hayt disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document
February 21, 2023 Filed Feb 23, 2023 16:32 UTC	Eaton Vance Ltd Duration Income Fund EVV · Entity 8889	SaleSeries A Auction Preferred Shares	194	$21,750.00	$4,219,500.00	Disclosure SEC source: 0001140361-23-008299 · form4.xml · nonDerivative · entry 1 Paloma Partners Management Co · CIK 0001103882 · 10% owner Sunrise Partners Limited Partnership · CIK 0001369507 · 10% owner PALOMA INTERNATIONAL L P · CIK 0001270603 · 10% owner Paloma Partners Advisors LP · CIK 0001633870 · 10% owner PALOMA PARTNERS ADVISORS, INC. · CIK 0001924140 · 10% owner Hayt Gregory S. · CIK 0001924125 · 10% owner SUSSMAN S DONALD · CIK 0001044734 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Explanation of Responses Disclosed balance after: 0 F1 · ownership.nature: These Auction Preferred Shares are held directly by Sunrise Partners Limited Partnership ("Sunrise"). Paloma International, L.P. is the parent of Sunrise. Each of Paloma Partners Management Company and Paloma Partners Advisors LP serves as general partner of Paloma International, L.P. Paloma Partners Advisors, Inc. serves as general partner of Paloma Partners Advisors LP. Donald Sussman serves as President of Paloma Partners Advisors, Inc. Donald Sussman and Gregory Hayt serve as Directors of Paloma Partners Management Company. F2 · ownership.nature: Each of Paloma International, L.P., Paloma Partners Management Company, Paloma Partners Advisors LP, Paloma Partners Advisors, Inc., Donald Sussman and Gregory Hayt disclaims beneficial ownership of the securities reported herein, except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that such person is the beneficial owner of such securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document
December 30, 2016 Filed Jan 3, 2017 16:27 UTC	Arno Therapeutics, Inc ARNI · Entity 179806	Sale2013 Series D Warrants · Derivative	1,383,702	Not disclosed Strike: $1.75	Not disclosed	Disclosure SEC source: 0001359824-17-000005 · form4.xml · derivative · entry 4 SUSSMAN S DONALD · CIK 0001044734 · See Footnote 1 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,383,702 shares Expires 2018-10-29 F4 · derivative.exercise_price: As a result of the Issuer's 8/15/16 private placement of common stock and Series F Warrants, the exercise prices and shares underlying the 2012 Series A Warrants and 2013 Series D Warrants were automatically adjusted to the exercise price and shares reflected pursuant to anti-dilution adjustment provisions in such warrants. F3 · price: These reported securities are included within a sale by the Reporting Person of all such securities for an aggregate price of $1,000. F2 · derivative.underlying_shares: These shares of common stock or warrants exercisable for shares of common stock, as applicable, represent a pro rata distribution from CSC, and not a purchase or sale, of such shares or warrants by CSC to its members without consideration. Read SEC document
December 30, 2016 Filed Jan 3, 2017 16:27 UTC	Arno Therapeutics, Inc ARNI · Entity 179806	Sale2012 Series A Warrants · Derivative	1,605,809	Not disclosed Strike: $1.14	Not disclosed	Disclosure SEC source: 0001359824-17-000005 · form4.xml · derivative · entry 3 SUSSMAN S DONALD · CIK 0001044734 · See Footnote 1 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,605,809 shares Expires 2017-11-26 F4 · derivative.exercise_price: As a result of the Issuer's 8/15/16 private placement of common stock and Series F Warrants, the exercise prices and shares underlying the 2012 Series A Warrants and 2013 Series D Warrants were automatically adjusted to the exercise price and shares reflected pursuant to anti-dilution adjustment provisions in such warrants. F3 · price: These reported securities are included within a sale by the Reporting Person of all such securities for an aggregate price of $1,000. F2 · derivative.underlying_shares: These shares of common stock or warrants exercisable for shares of common stock, as applicable, represent a pro rata distribution from CSC, and not a purchase or sale, of such shares or warrants by CSC to its members without consideration. Read SEC document
December 30, 2016 Filed Jan 3, 2017 16:27 UTC	Arno Therapeutics, Inc ARNI · Entity 179806	SaleCommon Stock	4,285,111	Not disclosed	Not disclosed	Disclosure SEC source: 0001359824-17-000005 · form4.xml · nonDerivative · entry 1 SUSSMAN S DONALD · CIK 0001044734 · See Footnote 1 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 714,285 F1 · shares: Commercial Street Capital LLC ("CSC") has a contractual right to designate one member of the Issuer's board of directors and has designated Steven B. Ruchefsky, a director of the Issuer, pursuant to such right. Accordingly, the Reporting Person, as a co-managing director of CSC, may be deemed to be a director by deputization for purposes of Section 16 of the Exchange Act. F2 · shares: These shares of common stock or warrants exercisable for shares of common stock, as applicable, represent a pro rata distribution from CSC, and not a purchase or sale, of such shares or warrants by CSC to its members without consideration. F3 · price: These reported securities are included within a sale by the Reporting Person of all such securities for an aggregate price of $1,000. Read SEC document
August 15, 2016 Filed Sep 8, 2016 16:02 UTC	Arno Therapeutics, Inc ARNI · Entity 179806	Purchase2016 Series F Warrants (right to buy) · Derivative	357,142	Not disclosed Strike: $0.44	Not disclosed	Disclosure SEC source: 0000914190-16-000824 · edgar.xml · derivative · entry 3 SUSSMAN S DONALD · CIK 0001044734 · 10% owner · See Footnote 1 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 357,142 Underlying: Common Stock · 357,142 shares Expires 2021-08-15 F2 · price: The reported securities are included within 714,285 Issuer units purchased by the Reporting Person for $0.35 per unit. Each unit consists of one share of common stock and a 2016 Series F Warrant to purchase one-half share of common stock. Read SEC document
August 15, 2016 Filed Sep 8, 2016 16:02 UTC	Arno Therapeutics, Inc ARNI · Entity 179806	PurchaseCommon Stock	714,285	Not disclosed	Not disclosed	Disclosure SEC source: 0000914190-16-000824 · edgar.xml · nonDerivative · entry 1 SUSSMAN S DONALD · CIK 0001044734 · 10% owner · See Footnote 1 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 714,285 F2 · price: The reported securities are included within 714,285 Issuer units purchased by the Reporting Person for $0.35 per unit. Each unit consists of one share of common stock and a 2016 Series F Warrant to purchase one-half share of common stock. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.