Sec Form 13G Filing - Canaan IX L.P. @ ARVINAS INC

Sec Form 13G Filing - Canaan IX L.P. filing for ARVINAS INC (ARVN) - 2020-02-06

Insider filing report for Changes in Beneficial Ownership

Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13G/A

UNDER THE SECURITIES EXCHANGE ACT OF 1934

(Amendment No. 1)*

Arvinas, Inc.

(Name of Issuer)

COMMON STOCK, $0.001 PAR VALUE PER SHARE

(Title of Class of Securities)

04335A105

(CUSIP Number)

December 31, 2019

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

☐ Rule 13d-1(b)

☐ Rule 13d-1(c)

☒ Rule 13d-1(d)

*	The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).


CUSIP No. 04335A105		SCHEDULE 13G/A		Page 2 of 6 Pages

11.

(1)	The percent of class was calculated based on 33,748,982 shares of common stock outstanding as of October 31, 2019 as disclosed in the Issuer’s Quarterly Report on Form 10-Q for the period ended September 30, 2019, as filed with the Securities and Exchange Commission on November 4, 2019.


CUSIP No. 04335A105		SCHEDULE 13G/A		Page 3 of 6 Pages

(1)	The percent of class was calculated based on 33,748,982 shares of common stock outstanding as of October 31, 2019 as disclosed in the Issuer’s Quarterly Report on Form 10-Q for the period ended September 30, 2019, as filed with the Securities and Exchange Commission on November 4, 2019.


CUSIP No. 04335A105		SCHEDULE 13G/A		Page 4 of 6 Pages


Item 1. Issuer

	(a)		Name of Issuer:

			Arvinas, Inc. (the “Issuer”)

	(b)		Address of Issuer’s Principal Executive Offices:

			5 Science Park 395 Winchester Ave. New Haven, CT 06511

Item 2. Filing Person

	(a) – (c)		Name of Persons Filing; Address; Citizenship:

			(i) Canaan IX L.P., a Cayman Islands limited partnership (the “Fund”); and (ii) Canaan Partners IX LLC, a Delaware limited liability company (the “General Partner”). The address of the principal business office of each of the reporting persons is 285 Riverside Avenue, Suite 250, Westport, Connecticut 06880.

	(d)		Title of Class of Securities:

			Common stock, $0.001 par value per share, (the “Common Stock”)

	(e)		CUSIP Number: 04335A105

Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:

	(a)	☐	Broker or dealer registered under Section 15 of the Act;

	(b)	☐	Bank as defined in Section 3(a)(6) of the Act;

	(c)	☐	Insurance company as defined in Section 3(a)(19) of the Act;

	(d)	☐	Investment company registered under Section 8 of the Investment Company Act of 1940;

	(e)	☐	An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);

	(f)	☐	An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);

	(g)	☐	A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);

	(h)	☐	A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

	(i)	☐	A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940;

	(j)	☐	A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J);

	(k)	☐	Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution:

		If filing as a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J), please specify the type of institution:


CUSIP No. 04335A105		SCHEDULE 13G/A		Page 5 of 6 Pages


Item 4. Ownership.

	(a) and (b)	Amount beneficially owned:

		(i)	The Fund directly owns 4,489,554 shares of Common Stock, which represents approximately 13.3% of the outstanding shares of Common Stock.

		(ii)	The General Partner is the general partner of the Fund and may be deemed to beneficially own 4,489,554 shares of Common Stock, which represents approximately 13.3% of the outstanding shares of Common Stock.

	(c)	Number of shares as to which such person has:


	Number of Shares of Common Stock
Reporting Person	(i)		(ii)		(iii)		(iv)
Canaan IX L.P.		4,489,554		0		4,489,554		0
Canaan Partners IX LLC		4,489,554		0		4,489,554		0

(i)	Sole power to vote or direct the vote

(ii)	Shared power to vote or to direct the vote

(iii)

Sole power to dispose or to direct the disposition of

(iv)	Shared power to dispose or to direct the disposition of


The percent of class was calculated based on 33,748,982 shares of common stock outstanding as of October 31, 2019 as disclosed in the Issuer’s Quarterly Report on Form 10-Q for the period ended September 30, 2019, as filed with the Securities and Exchange Commission on November 4, 2019.

Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting persons have ceased to be the beneficial owner of more than five percent of the class of securities, check the following. ☐

Item 6. Ownership of More than Five Percent on Behalf of Another Person. Not applicable.

Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. Not applicable.

Item 8. Identification and Classification of Members of the Group. Not applicable.

Item 9. Notice of Dissolution of Group. Not applicable.

Item 10. Certification. Not applicable.


CUSIP No. 04335A105		SCHEDULE 13G/A		Page 6 of 6 Pages

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Date: February 6, 2020


CANAAN IX L.P.

By: CANAAN PARTNERS IX LLC, its General Partner

By:		/s/ Nancy Levenson
		Nancy Levenson, Attorney-in-Fact

CANAAN PARTNERS IX LLC

By:		/s/ Nancy Levenson
		Nancy Levenson, Attorney-in-Fact

NAMES OF REPORTING PERSONS

Canaan IX L.P.

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ☐ (b) ☒

SEC USE ONLY

CITIZENSHIP OR PLACE OF ORGANIZATION

Cayman Islands