Initial Statement of Beneficial Ownership (3)
24 December 2022 - 9:08AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Loomis David K |
2. Date of Event Requiring Statement (MM/DD/YYYY)
12/15/2022
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3. Issuer Name and Ticker or Trading Symbol
ARVINAS, INC. [ARVN]
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(Last)
(First)
(Middle)
C/O ARVINAS, INC., 5 SCIENCE PARK, 395 WINCHESTER AVE. |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
Chief Accounting Officer / |
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(Street)
NEW HAVEN, CT 06511
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4) | 2. Amount of Securities Beneficially Owned
(Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5) | 4. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Common Stock | 2750 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5) | 6. Nature of Indirect Beneficial Ownership
(Instr. 5) |
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
| Stock Option (right to buy) | (2) | 12/1/2032 | Common Stock | 27500.0 | $41.39 | D | |
| Explanation of Responses: |
| (1) | The restricted stock units (each, an "RSU") were granted by the Issuer on December 13, 2022, pursuant to its 2018 Stock Incentive Plan (the "Plan") and each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement for no consideration. The RSUs will vest over four years: 25% of the RSUs will vest on each of November 7, 2023, November 7, 2024, November 7, 2025 and November 7, 2026, subject to the Reporting Person's continued service with the Issuer on each such vesting date. |
| (2) | The option was granted by the Issuer on December 2, 2022, pursuant to the Plan. The shares underlying the option will vest over four years: 25% of the shares underlying options will vest on November 7, 2023 with the remaining 75% vesting in 36 equal monthly installments thereafter, subject to the Reporting Person's continued service with the Issuer on each vesting date. |
Remarks:
Exhibit Index: 24.1 Power of Attorney |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Loomis David K
C/O ARVINAS, INC.
5 SCIENCE PARK, 395 WINCHESTER AVE.
NEW HAVEN, CT 06511 |
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| Chief Accounting Officer |
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Signatures
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| /s/ Matthew Batters, as attorney-in-fact for David K Loomis | | 12/23/2022 |
| **Signature of Reporting Person | Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
| ** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: | File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
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