Filing Details

Accession Number:
0000914190-16-000516
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-01-14 17:19:25
Reporting Period:
2016-01-12
Filing Date:
2016-01-14
Accepted Time:
2016-01-14 17:19:25
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1195116 Arno Therapeutics Inc ARNI Pharmaceutical Preparations (2834) 522286452
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1568077 Tomer Kariv 200 Route 31 North
Suite 104
Flemington NJ 08822
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2016-01-12 707,868 $0.35 1,347,327 No 4 P Indirect By Pontifax (Cayman) II L.P.
Common Stock Acquisiton 2016-01-12 533,208 $0.35 1,014,888 No 4 P Indirect By Pontifax (Israel) II L.P.
Common Stock Acquisiton 2016-01-12 206,986 $0.35 393,968 No 4 P Indirect By Pontifax (Israel) II - Individual Investors L.P.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Pontifax (Cayman) II L.P.
No 4 P Indirect By Pontifax (Israel) II L.P.
No 4 P Indirect By Pontifax (Israel) II - Individual Investors L.P.
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Stock Option (right to buy) $8.00 2020-11-05 3,750 3,750 Direct
Common Stock Stock Option (right to buy) $2.40 2023-11-04 68,448 68,448 Direct
Common Stock Stock Option (right to buy) $2.90 2024-01-24 34,224 34,224 Direct
Common Stock 2012 Series A Warrants (right to buy) $1.36 2012-12-18 2017-12-18 599,064 599,064 Indirect
Common Stock 2013 Series D Warrants (right to buy) $2.14 2013-10-29 2018-10-29 380,714 380,714 Indirect
Common Stock 2012 Series A Warrants (right to buy) $1.36 2012-12-18 2017-12-18 451,252 451,252 Indirect
Common Stock 2013 Series D Warrants (right to buy) $2.14 2013-10-29 2018-10-29 286,777 286,777 Indirect
Common Stock 2012 Series A Warrants (right to buy) $1.36 2012-12-18 2017-12-18 175,170 175,170 Indirect
Common Stock 2013 Series D Warrants (right to buy) $2.14 2013-10-29 2018-10-29 111,323 111,323 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
2020-11-05 3,750 3,750 Direct
2023-11-04 68,448 68,448 Direct
2024-01-24 34,224 34,224 Direct
2017-12-18 599,064 599,064 Indirect
2018-10-29 380,714 380,714 Indirect
2017-12-18 451,252 451,252 Indirect
2018-10-29 286,777 286,777 Indirect
2017-12-18 175,170 175,170 Indirect
2018-10-29 111,323 111,323 Indirect
Footnotes
  1. On January 12, 2016, Pontifax (Cayman) II L.P. was issued 707,868 shares upon the automatic conversion of $247,753.81 of principal and accrued interest under a 6% unsecured convertible promissory note previously issued to Pontifax (Cayman) II L.P. by the Issuer on October 21, 2015.
  2. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
  3. On January 12, 2016, Pontifax (Israel) II L.P. was issued 533,208 shares upon the automatic conversion of $186,622.98 of principal and accrued interest under a 6% unsecured convertible promissory note previously issued to Pontifax (Israel) II L.P. by the Issuer on October 21, 2015.
  4. On January 12, 2016, Pontifax (Israel) II - Individual Investors L.P. was issued 206,986 shares upon the automatic conversion of $72,445.12 of principal and accrued interest under a 6% unsecured convertible promissory note previously issued to Pontifax (Israel) II - Individual Investors L.P. by the Issuer on October 21, 2015.
  5. Currently exercisable.
  6. Vests in equal 36-monthly installments commencing 12/4/13.
  7. Vests in equal 12-monthly installments commencing 2/24/14.
  8. As a result of the Issuer's 1/12/16 private placement of common stock at $0.35/share, the exercise price and number of shares subject to 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.