organization · Reporting owner
5AM VENTURES III, L.P.
Disclosed activity across 2 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ARVINAS, INC.ARVN · Entity 5355 | 10% owner | September 16, 2019 | September 18, 2019 |
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.
ARVINAS, INC.
Report date September 16, 2019 · Filed September 18, 2019
Jointly reported with 5AM Partners III, LLC, 5AM Co-Investors III, L.P., DIEKMAN JOHN D, ROCKLAGE SCOTT M, Schwab Andrew J.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 3,098,567 |
Reported balance
After 2019-09-16 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-09-16 · Other · Disposed 438,694 · Balance 3,098,567 F1: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by 5AM Ventures III, L.P. ("Ventures III") without consideration to its partners. F2: These Securities are held of record by Ventures III. F7: 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. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 79,856 |
Reported balance
After 2019-09-16 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2019-09-16 · Other · Disposed 11,306 · Balance 79,856 F3: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by 5AM Co-Investors III, L.P. ("Co-Investors III") without consideration to its partners. F4: These Securities are held of record by Co-Investors III. F7: 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. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 85,396 |
Reported balance
After 2019-09-16 transaction · row 3
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 3 · 2019-09-16 · Other · Acquired 85,396 · Balance 85,396 F5: Represents a change in the form of ownership of 5AM Partners III, LLC ("Partners III") by virtue of the receipt of shares in the pro-rata in-kind distribution of Common Stock of the Issuer for no consideration by Ventures III and Co-Investors III. F6: These Securities are held of record by Partners 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 Partners III. Each of Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 17,079 |
Reported balance
After 2019-09-16 transaction · row 4
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 4 · 2019-09-16 · Other · Acquired 17,079 · Balance 17,079 F8: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to John D. Diekman and Susan P. Diekman Trustees Diekman Revocable Trust Dtd 6/30/95 ("Diekman Trust"). F9: These securities are held of record by Diekman Trust. Dr. Diekman is a trustee and beneficiary of the Diekman Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 17,079 |
Reported balance
After 2019-09-16 transaction · row 5
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 5 · 2019-09-16 · Other · Acquired 17,079 · Balance 17,079 F10: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to the Schwab Family Trust, Andrew J. Schwab and Catarina N. Schwab, as Trustees of the Schwab Family Trust, dated October 26, 2007 ("Schwab Family Trust"). F11: These securities are held of record by Schwab Family Trust. Mr. Schwab is a trustee and beneficiary of the Schwab Family Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 8,540 |
Reported balance
After 2019-09-16 transaction · row 6
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 6 · 2019-09-16 · Other · Acquired 8,540 · Balance 8,540 F12: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to Scott M. Rocklage Revocable Trust dated 10/22/15; Trustees: Scott M. Rocklage and Patty B. Rocklage ("Rocklage Trust"). F13: These securities are held of record by Rocklage Trust. Dr. Rocklage is a trustee and beneficiary of the Rocklage Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 8,540 |
Reported balance
After 2019-09-16 transaction · row 7
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 7 · 2019-09-16 · Other · Acquired 8,540 · Balance 8,540 F14: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to MADRock II LLC ("MADRock II"). F15: These securities are held of record by MADRock II. Dr. Rocklage is a manager of MADRock II and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 1,002 |
Reported balance
After 2019-09-16 transaction · row 8
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 8 · 2019-09-16 · Other · Acquired 1,002 · Balance 1,002 F16: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Co-Investor III to Dr. John D. Diekman. F17: These securities are held of record by Dr. John D. Diekman and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by 5AM Ventures III, L.P. ("Ventures III") without consideration to its partners.
F2: These Securities are held of record by Ventures III.
F3: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by 5AM Co-Investors III, L.P. ("Co-Investors III") without consideration to its partners.
F4: These Securities are held of record by Co-Investors III.
F5: Represents a change in the form of ownership of 5AM Partners III, LLC ("Partners III") by virtue of the receipt of shares in the pro-rata in-kind distribution of Common Stock of the Issuer for no consideration by Ventures III and Co-Investors III.
F6: These Securities are held of record by Partners 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 Partners III. Each of Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of his pecuniary interest therein.
F7: 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.
F8: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to John D. Diekman and Susan P. Diekman Trustees Diekman Revocable Trust Dtd 6/30/95 ("Diekman Trust").
F9: These securities are held of record by Diekman Trust. Dr. Diekman is a trustee and beneficiary of the Diekman Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.
F10: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to the Schwab Family Trust, Andrew J. Schwab and Catarina N. Schwab, as Trustees of the Schwab Family Trust, dated October 26, 2007 ("Schwab Family Trust").
F11: These securities are held of record by Schwab Family Trust. Mr. Schwab is a trustee and beneficiary of the Schwab Family Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.
F12: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to Scott M. Rocklage Revocable Trust dated 10/22/15; Trustees: Scott M. Rocklage and Patty B. Rocklage ("Rocklage Trust").
F13: These securities are held of record by Rocklage Trust. Dr. Rocklage is a trustee and beneficiary of the Rocklage Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.
F14: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to MADRock II LLC ("MADRock II").
F15: These securities are held of record by MADRock II. Dr. Rocklage is a manager of MADRock II and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.
F16: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Co-Investor III to Dr. John D. Diekman.
F17: These securities are held of record by Dr. John D. Diekman and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Audentes Therapeutics, Inc.
Report date April 24, 2017 · Filed April 26, 2017
Jointly reported with 5AM Partners III, LLC, 5AM Co-Investors III, L.P., DIEKMAN JOHN D, Schwab Andrew J., ROCKLAGE SCOTT M
Section 16 reporting ended · disclosed 2017-04-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Co-Investors III, L.P. | 64,431 |
Reported balance
After 2017-04-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2017-04-24 · Purchase · Acquired 4,331 · Balance 64,431 F1: 5AM Partners III, LLC is the general partner of 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Dr. John Diekman, Andrew Schwab and Dr. Scott Rocklage are the managing members of 5AM Partners III. 5AM Partners III, LLC may be deemed to have sole voting and investment power over the shares beneficially owned by 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Dr. Diekman, Mr. Schwab and Dr. Rocklage may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Each of 5AM Partners III, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares, except to the extent of its pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy 5AM Ventures III, L.P. | 2,500,113 |
Reported balance
After 2017-04-24 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2017-04-24 · Purchase · Acquired 168,082 · Balance 2,500,113 F1: 5AM Partners III, LLC is the general partner of 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Dr. John Diekman, Andrew Schwab and Dr. Scott Rocklage are the managing members of 5AM Partners III. 5AM Partners III, LLC may be deemed to have sole voting and investment power over the shares beneficially owned by 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Dr. Diekman, Mr. Schwab and Dr. Rocklage may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Each of 5AM Partners III, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares, except to the extent of its pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: 5AM Partners III, LLC is the general partner of 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Dr. John Diekman, Andrew Schwab and Dr. Scott Rocklage are the managing members of 5AM Partners III. 5AM Partners III, LLC may be deemed to have sole voting and investment power over the shares beneficially owned by 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Dr. Diekman, Mr. Schwab and Dr. Rocklage may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Each of 5AM Partners III, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares, except to the extent of its pecuniary interest therein.
Transaction history
JSON APIPurchases/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 |
|---|---|---|---|---|---|---|
| September 16, 2019 Filed Sep 18, 2019 21:32 UTC | ARVINAS, INC. ARVN · Entity 5355 | OtherCommon Stock | 1,002 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-050625 · a4.xml · nonDerivative · entry 8 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: 1,002 F16 · kind: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Co-Investor III to Dr. John D. Diekman. F17 · ownership.nature: These securities are held of record by Dr. John D. Diekman and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| September 16, 2019 Filed Sep 18, 2019 21:32 UTC | ARVINAS, INC. ARVN · Entity 5355 | OtherCommon Stock | 8,540 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-050625 · a4.xml · nonDerivative · entry 7 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: 8,540 F14 · kind: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to MADRock II LLC ("MADRock II"). F15 · ownership.nature: These securities are held of record by MADRock II. Dr. Rocklage is a manager of MADRock II and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| September 16, 2019 Filed Sep 18, 2019 21:32 UTC | ARVINAS, INC. ARVN · Entity 5355 | OtherCommon Stock | 8,540 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-050625 · a4.xml · nonDerivative · entry 6 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: 8,540 F12 · kind: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to Scott M. Rocklage Revocable Trust dated 10/22/15; Trustees: Scott M. Rocklage and Patty B. Rocklage ("Rocklage Trust"). F13 · ownership.nature: These securities are held of record by Rocklage Trust. Dr. Rocklage is a trustee and beneficiary of the Rocklage Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| September 16, 2019 Filed Sep 18, 2019 21:32 UTC | ARVINAS, INC. ARVN · Entity 5355 | OtherCommon Stock | 17,079 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-050625 · a4.xml · nonDerivative · entry 5 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: 17,079 F10 · kind: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to the Schwab Family Trust, Andrew J. Schwab and Catarina N. Schwab, as Trustees of the Schwab Family Trust, dated October 26, 2007 ("Schwab Family Trust"). F11 · ownership.nature: These securities are held of record by Schwab Family Trust. Mr. Schwab is a trustee and beneficiary of the Schwab Family Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| September 16, 2019 Filed Sep 18, 2019 21:32 UTC | ARVINAS, INC. ARVN · Entity 5355 | OtherCommon Stock | 17,079 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-050625 · 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: 17,079 F8 · kind: Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to John D. Diekman and Susan P. Diekman Trustees Diekman Revocable Trust Dtd 6/30/95 ("Diekman Trust"). F9 · ownership.nature: These securities are held of record by Diekman Trust. Dr. Diekman is a trustee and beneficiary of the Diekman Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein. Read SEC document |
| September 16, 2019 Filed Sep 18, 2019 21:32 UTC | ARVINAS, INC. ARVN · Entity 5355 | OtherCommon Stock | 85,396 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-050625 · 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: 85,396 F5 · kind: Represents a change in the form of ownership of 5AM Partners III, LLC ("Partners III") by virtue of the receipt of shares in the pro-rata in-kind distribution of Common Stock of the Issuer for no consideration by Ventures III and Co-Investors III. F6 · ownership.nature: These Securities are held of record by Partners 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 Partners III. Each of Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document |
| September 16, 2019 Filed Sep 18, 2019 21:32 UTC | ARVINAS, INC. ARVN · Entity 5355 | OtherCommon Stock | 11,306 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-050625 · 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: 79,856 F3 · kind: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by 5AM Co-Investors III, L.P. ("Co-Investors III") without consideration to its partners. F4 · ownership.nature: These Securities are held of record by Co-Investors III. F7 · ownership.nature: 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. Read SEC document |
| September 16, 2019 Filed Sep 18, 2019 21:32 UTC | ARVINAS, INC. ARVN · Entity 5355 | OtherCommon Stock | 438,694 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-19-050625 · 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: 3,098,567 F1 · kind: Represents a pro-rata in-kind distribution of Common Stock of the Issuer by 5AM Ventures III, L.P. ("Ventures III") without consideration to its partners. F2 · ownership.nature: These Securities are held of record by Ventures III. F7 · ownership.nature: 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. Read SEC document |
| June 28, 2019 Filed Jul 1, 2019 20:01 UTC | ARVINAS, INC. ARVN · Entity 5355 | SaleCommon Stock | 9,045 | $22.02 | $199,170.90 |
DisclosureSEC 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. Read SEC document |
| June 28, 2019 Filed Jul 1, 2019 20:01 UTC | ARVINAS, INC. ARVN · Entity 5355 | SaleCommon Stock | 350,955 | $22.02 | $7,728,029.10 |
DisclosureSEC 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. Read SEC document |
| June 27, 2019 Filed Jul 1, 2019 20:01 UTC | ARVINAS, INC. ARVN · Entity 5355 | SaleCommon Stock | 11,306 | $21.75 | $245,905.50 |
DisclosureSEC 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. Read SEC document |
| June 27, 2019 Filed Jul 1, 2019 20:01 UTC | ARVINAS, INC. ARVN · Entity 5355 | SaleCommon Stock | 438,694 | $21.75 | $9,541,594.50 |
DisclosureSEC 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. Read SEC document |
| June 07, 2019 Filed Jun 11, 2019 09:58 UTC | ARVINAS, INC. ARVN · Entity 5355 | SaleCommon Stock | 4,774 | $19.65 | $93,809.10 |
DisclosureSEC 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. Read SEC document |
| June 07, 2019 Filed Jun 11, 2019 09:58 UTC | ARVINAS, INC. ARVN · Entity 5355 | SaleCommon Stock | 185,226 | $19.65 | $3,639,690.90 |
DisclosureSEC 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. Read SEC document |
| March 28, 2019 Filed Apr 1, 2019 17:31 UTC | ARVINAS, INC. ARVN · Entity 5355 | SaleCommon Stock | 9,073 | $14.16 | $128,451.00 |
DisclosureSEC 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. Read SEC document |
| March 28, 2019 Filed Apr 1, 2019 17:31 UTC | ARVINAS, INC. ARVN · Entity 5355 | SaleCommon Stock | 352,056 | $14.16 | $4,984,232.82 |
DisclosureSEC 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. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 16:24 UTC | ARVINAS, INC. ARVN · Entity 5355 | ConversionSeries C Preferred Stock · Derivative | 55,522 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-18-060328 · a4.xml · derivative · entry 12 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: 0 Underlying: Common Stock · 17,083 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. F3 · derivative.exercise_price: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · derivative.exercise_date: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · derivative.expiration_date: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: These Securities are held of record by 5AM Co-Investors III, L.P. ("Co-Investors III"). F4 · 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. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 16:24 UTC | ARVINAS, INC. ARVN · Entity 5355 | ConversionSeries C Preferred Stock · Derivative | 2,154,311 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-18-060328 · a4.xml · derivative · entry 11 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: 0 Underlying: Common Stock · 662,864 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. F3 · derivative.exercise_price: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · derivative.exercise_date: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · derivative.expiration_date: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · ownership.nature: These Secruties are held of record by 5AM Ventures III, L.P. ("Ventures III"). F4 · 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. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 16:24 UTC | ARVINAS, INC. ARVN · Entity 5355 | ConversionSeries B Preferred Stock · Derivative | 112,128 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-18-060328 · a4.xml · derivative · entry 10 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: 0 Underlying: Common Stock · 34,500 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. F3 · derivative.exercise_price: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · derivative.exercise_date: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · derivative.expiration_date: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: These Securities are held of record by 5AM Co-Investors III, L.P. ("Co-Investors III"). F4 · 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. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 16:24 UTC | ARVINAS, INC. ARVN · Entity 5355 | ConversionSeries B Preferred Stock · Derivative | 4,350,709 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-18-060328 · a4.xml · derivative · entry 9 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: 0 Underlying: Common Stock · 1,338,679 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. F3 · derivative.exercise_price: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · derivative.exercise_date: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · derivative.expiration_date: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · ownership.nature: These Secruties are held of record by 5AM Ventures III, L.P. ("Ventures III"). F4 · 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. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 16:24 UTC | ARVINAS, INC. ARVN · Entity 5355 | ConversionSeries A Preferred Stock · Derivative | 239,776 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-18-060328 · a4.xml · derivative · entry 8 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: 0 Underlying: Common Stock · 73,777 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. F3 · derivative.exercise_price: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · derivative.exercise_date: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · derivative.expiration_date: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: These Securities are held of record by 5AM Co-Investors III, L.P. ("Co-Investors III"). F4 · 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. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 16:24 UTC | ARVINAS, INC. ARVN · Entity 5355 | ConversionSeries A Preferred Stock · Derivative | 9,303,611 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-18-060328 · a4.xml · derivative · entry 7 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: 0 Underlying: Common Stock · 2,862,649 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. F3 · derivative.exercise_price: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · derivative.exercise_date: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F3 · derivative.expiration_date: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · ownership.nature: These Secruties are held of record by 5AM Ventures III, L.P. ("Ventures III"). F4 · 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. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 16:24 UTC | ARVINAS, INC. ARVN · Entity 5355 | ConversionCommon Stock | 17,083 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-060328 · a4.xml · nonDerivative · entry 6 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: 125,360 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 · price: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: These Securities are held of record by 5AM Co-Investors III, L.P. ("Co-Investors III"). F4 · 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. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 16:24 UTC | ARVINAS, INC. ARVN · Entity 5355 | ConversionCommon Stock | 34,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-060328 · a4.xml · nonDerivative · entry 5 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: 108,277 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 · price: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: These Securities are held of record by 5AM Co-Investors III, L.P. ("Co-Investors III"). F4 · 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. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 16:24 UTC | ARVINAS, INC. ARVN · Entity 5355 | ConversionCommon Stock | 73,777 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-060328 · a4.xml · nonDerivative · entry 4 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: 73,777 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 · price: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F2 · ownership.nature: These Securities are held of record by 5AM Co-Investors III, L.P. ("Co-Investors III"). F4 · 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. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 16:24 UTC | ARVINAS, INC. ARVN · Entity 5355 | ConversionCommon Stock | 662,864 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-060328 · a4.xml · nonDerivative · entry 3 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: 4,864,192 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 · price: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · ownership.nature: These Secruties are held of record by 5AM Ventures III, L.P. ("Ventures III"). F4 · 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. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 16:24 UTC | ARVINAS, INC. ARVN · Entity 5355 | ConversionCommon Stock | 1,338,679 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-060328 · 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: 4,201,328 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 · price: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · ownership.nature: These Secruties are held of record by 5AM Ventures III, L.P. ("Ventures III"). F4 · 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. Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 16:24 UTC | ARVINAS, INC. ARVN · Entity 5355 | ConversionCommon Stock | 2,862,649 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-18-060328 · 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: 2,862,649 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 · price: On October 1, 2018, the Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 3.25-for-one basis, upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date. F1 · ownership.nature: These Secruties are held of record by 5AM Ventures III, L.P. ("Ventures III"). F4 · 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. Read SEC document |
| April 24, 2017 Filed Apr 26, 2017 20:17 UTC | Audentes Therapeutics, Inc. BOLD · Entity 122788 | PurchaseCommon Stock | 168,082 | $14.50 | $2,437,189.00 |
DisclosureSEC source: 0001209191-17-028279 · doc4.xml · nonDerivative · entry 2 5AM Partners III, LLC · CIK 0001555953 · former 10% owner 5AM Co-Investors III, L.P. · CIK 0001478660 · former 10% owner 5AM VENTURES III, L.P. · CIK 0001456890 · former 10% owner DIEKMAN JOHN D · CIK 0001240357 · Fomer 10% owner Schwab Andrew J. · CIK 0001598549 · former 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · former 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Ventures III, L.P. Disclosed balance after: 2,500,113 F1 · ownership.nature: 5AM Partners III, LLC is the general partner of 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Dr. John Diekman, Andrew Schwab and Dr. Scott Rocklage are the managing members of 5AM Partners III. 5AM Partners III, LLC may be deemed to have sole voting and investment power over the shares beneficially owned by 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Dr. Diekman, Mr. Schwab and Dr. Rocklage may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Each of 5AM Partners III, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares, except to the extent of its pecuniary interest therein. Read SEC document |
| April 24, 2017 Filed Apr 26, 2017 20:17 UTC | Audentes Therapeutics, Inc. BOLD · Entity 122788 | PurchaseCommon Stock | 4,331 | $14.50 | $62,799.50 |
DisclosureSEC source: 0001209191-17-028279 · doc4.xml · nonDerivative · entry 1 5AM Partners III, LLC · CIK 0001555953 · former 10% owner 5AM Co-Investors III, L.P. · CIK 0001478660 · former 10% owner 5AM VENTURES III, L.P. · CIK 0001456890 · former 10% owner DIEKMAN JOHN D · CIK 0001240357 · Fomer 10% owner Schwab Andrew J. · CIK 0001598549 · former 10% owner ROCKLAGE SCOTT M · CIK 0001219014 · former 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By 5AM Co-Investors III, L.P. Disclosed balance after: 64,431 F1 · ownership.nature: 5AM Partners III, LLC is the general partner of 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Dr. John Diekman, Andrew Schwab and Dr. Scott Rocklage are the managing members of 5AM Partners III. 5AM Partners III, LLC may be deemed to have sole voting and investment power over the shares beneficially owned by 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Dr. Diekman, Mr. Schwab and Dr. Rocklage may be deemed to have shared voting and investment power over the shares beneficially owned by 5AM Ventures III, L.P. and 5AM Co-Investors III, L.P. Each of 5AM Partners III, LLC, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares, except to the extent of its pecuniary interest therein. 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.