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Filing Details

Accession Number:: 0000914190-16-000519
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2016-01-14 17:20:27
Reporting Period:: 2016-01-12

Filing Date:: 2016-01-14
Accepted Time:: 2016-01-14 17:20:27
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
1569782	A Alexander Zukiwski	200 Route 31 North Suite 104 Flemington NJ 08822	Vp & Chief Medical Officer	Yes	Yes	No	No

Reported Non-Derivative Transactions

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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	144,806	$0.35	261,832	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Stock Option (right to buy)	$2.40		2021-06-22	109,375	109,375	Direct
Common Stock	Stock Option (right to buy)	$2.40		2021-06-22	55,736	55,736	Direct
Common Stock	Stock Option (right to buy)	$2.40		2023-01-14	36,562	36,562	Direct
Common Stock	Stock Option (right to buy)	$2.40		2023-01-14	12,187	12,187	Direct
Common Stock	Stock Option (right to buy)	$2.40		2023-11-04	316,389	316,389	Direct
Common Stock	Stock Option (right to buy)	$2.90		2024-01-24	711,301	711,301	Direct
Common Stock	2012 Series A Warrants (right to buy)	$1.36	2012-11-26	2017-11-26	183,822	183,822	Direct
Common Stock	2013 Series D Warrants (right to buy)	$2.14	2013-10-29	2018-10-29	77,880	77,880	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2021-06-22	109,375	109,375	Direct
2021-06-22	55,736	55,736	Direct
2023-01-14	36,562	36,562	Direct
2023-01-14	12,187	12,187	Direct
2023-11-04	316,389	316,389	Direct
2024-01-24	711,301	711,301	Direct
2017-11-26	183,822	183,822	Direct
2018-10-29	77,880	77,880	Direct

Footnotes

On January 12, 2016, the Reporting Person was issued 144,806 shares upon the automatic conversion of $50,682.19 of principal and accrued interest under a 6% unsecured convertible promissory note previously issued to the Reporting Person by the Issuer on October 21, 2015.
Currently exercisable.
On 6/22/2011, the Reporting Person was granted an option to purchase up to 109,375 shares of common stock of the Issuer. Up to 1/3 of the shares subject to the option may vest annually (or a pro rata portion thereof for a period of less than a full year) based on the achievement of cerain performance milestones as determined by the Board of Directors (the 'Board') of the Issuer. On 1/17/2012, the Board determined that options for the prorated period ending 12/31/2011 would vest in the maximum potential amount of 19,278 shares. On 1/14/2013, the Board determined that options for the period ending 12/31/2012 would vest in the maximum potential amount of 36,458 shares.
Vests in equal 36-monthly installments commencing 12/4/13.
On 1/14/13, the Reporting Person was granted an option to purchase up to 36,562 shares of common stock of the Issuer. 1/3 of the shares subject to the option were immediately vested and up to 1/2 of the remaining shares subject to the option may vest annually, based on the achievement of certain performance milestones as determined by the Board.
Vests 25% on first anniversary date and thereafter will vest in 24 equal monthly installments.
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.