Filing Details
- Accession Number:
- 0001567619-20-005668
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-03-04 20:12:35
- Reporting Period:
- 2020-03-02
- Accepted Time:
- 2020-03-04 20:12:35
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1437402 | Ardelyx Inc. | ARDX | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1321402 | Michael Raab | C/O Ardelyx, Inc. 34175 Ardenwood Blvd Fremont CA 94555 | President & Ceo | Yes | Yes | 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 | 2020-03-02 | 11,123 | $1.08 | 219,180 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2020-03-02 | 11,123 | $7.00 | 208,057 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2020-03-02 | 20,428 | $7.01 | 110,240 | No | 4 | S | Indirect | Family Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Indirect | Family Trust |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2020-03-02 | 11,123 | $0.00 | 11,123 | $1.08 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2020-10-26 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,000 | Indirect | Trust |
Footnotes
- Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 23, 2019.
- Reflects the adjusted total which includes the purchase of 1,229 shares under the Ardelyx Employee Stock Purchase Plan on February 28, 2020.
- Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 21, 2019.
- The transaction was executed in multiple trades in prices ranging from $7.00 to $7.065, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
- The shares are directly held by Michael G. Raab, Trustee of the Michael G. Raab Living Trust dated July 25, 2012.
- The shares are owned directly by trusts for the benefit of the Reporting Person's children.
- Fully vested.
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