<SEC-DOCUMENT>0001104659-19-050625.txt : 20190918
<SEC-HEADER>0001104659-19-050625.hdr.sgml : 20190918
<ACCEPTANCE-DATETIME>20190918213212
ACCESSION NUMBER:		0001104659-19-050625
CONFORMED SUBMISSION TYPE:	4
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20190916
FILED AS OF DATE:		20190918
DATE AS OF CHANGE:		20190918

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			5AM VENTURES III, L.P.
		CENTRAL INDEX KEY:			0001456890
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-38672
		FILM NUMBER:		191100885

	BUSINESS ADDRESS:	
		STREET 1:		2200 SAND HILL ROAD
		STREET 2:		SUITE 110
		CITY:			MENLO PARK
		STATE:			CA
		ZIP:			94025
		BUSINESS PHONE:		650-233-8600

	MAIL ADDRESS:	
		STREET 1:		2200 SAND HILL ROAD
		STREET 2:		SUITE 110
		CITY:			MENLO PARK
		STATE:			CA
		ZIP:			94025

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			5AM Partners III, LLC
		CENTRAL INDEX KEY:			0001555953
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-38672
		FILM NUMBER:		191100886

	BUSINESS ADDRESS:	
		STREET 1:		2200 SAND HILL ROAD STE 110
		CITY:			MENLO PARK
		STATE:			CA
		ZIP:			94025
		BUSINESS PHONE:		650.233.8600

	MAIL ADDRESS:	
		STREET 1:		2200 SAND HILL ROAD STE 110
		CITY:			MENLO PARK
		STATE:			CA
		ZIP:			94025

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			5AM Co-Investors III, L.P.
		CENTRAL INDEX KEY:			0001478660
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-38672
		FILM NUMBER:		191100887

	BUSINESS ADDRESS:	
		STREET 1:		2200 SAND HILL ROAD, SUITE 110
		CITY:			MENLO PARK
		STATE:			CA
		ZIP:			94025
		BUSINESS PHONE:		650-233-8600

	MAIL ADDRESS:	
		STREET 1:		2200 SAND HILL ROAD, SUITE 110
		CITY:			MENLO PARK
		STATE:			CA
		ZIP:			94025

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			DIEKMAN JOHN D
		CENTRAL INDEX KEY:			0001240357

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-38672
		FILM NUMBER:		191100888

	MAIL ADDRESS:	
		STREET 1:		C/O 5 AM VENTURES
		STREET 2:		3000 SAND HILL RD
		CITY:			MENLO PARK
		STATE:			CA
		ZIP:			94025

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			ROCKLAGE SCOTT M
		CENTRAL INDEX KEY:			0001219014

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-38672
		FILM NUMBER:		191100889

	MAIL ADDRESS:	
		STREET 1:		179 SANDY POND ROAD
		CITY:			LINCOLN
		STATE:			MA
		ZIP:			01773

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			Schwab Andrew J.
		CENTRAL INDEX KEY:			0001598549

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-38672
		FILM NUMBER:		191100890

	MAIL ADDRESS:	
		STREET 1:		C/O 5AM VENTURES, 2200 SAND HILL ROAD
		STREET 2:		SUITE 110
		CITY:			MENLO PARK
		STATE:			CA
		ZIP:			94025

ISSUER:		

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			ARVINAS, INC.
		CENTRAL INDEX KEY:			0001655759
		STANDARD INDUSTRIAL CLASSIFICATION:	PHARMACEUTICAL PREPARATIONS [2834]
		IRS NUMBER:				472566120
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	BUSINESS ADDRESS:	
		STREET 1:		395 WINCHESTER AVE
		STREET 2:		5 SCIENCE PARK
		CITY:			NEW HAVEN
		STATE:			CT
		ZIP:			06511
		BUSINESS PHONE:		203-535-1456

	MAIL ADDRESS:	
		STREET 1:		395 WINCHESTER AVE
		STREET 2:		5 SCIENCE PARK
		CITY:			NEW HAVEN
		STATE:			CT
		ZIP:			06511

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	ARVINAS INC.
		DATE OF NAME CHANGE:	20181001

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	ARVINAS HOLDING COMPANY, LLC
		DATE OF NAME CHANGE:	20151015
</SEC-HEADER>
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        <issuerCik>0001655759</issuerCik>
        <issuerName>ARVINAS, INC.</issuerName>
        <issuerTradingSymbol>ARVN</issuerTradingSymbol>
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            <rptOwnerCik>0001456890</rptOwnerCik>
            <rptOwnerName>5AM VENTURES III, L.P.</rptOwnerName>
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            <rptOwnerStreet2></rptOwnerStreet2>
            <rptOwnerCity>SAN FRANCISCO</rptOwnerCity>
            <rptOwnerState>CA</rptOwnerState>
            <rptOwnerZipCode>94107</rptOwnerZipCode>
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            <rptOwnerName>5AM Partners III, LLC</rptOwnerName>
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            <rptOwnerStreet2></rptOwnerStreet2>
            <rptOwnerCity>SAN FRANCISCO</rptOwnerCity>
            <rptOwnerState>CA</rptOwnerState>
            <rptOwnerZipCode>94107</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
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    <reportingOwner>
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            <rptOwnerName>5AM Co-Investors III, L.P.</rptOwnerName>
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            <rptOwnerStreet2></rptOwnerStreet2>
            <rptOwnerCity>SAN FRANCISCO</rptOwnerCity>
            <rptOwnerState>CA</rptOwnerState>
            <rptOwnerZipCode>94107</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
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    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001240357</rptOwnerCik>
            <rptOwnerName>DIEKMAN JOHN D</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>501 2ND STREET, SUITE 350</rptOwnerStreet1>
            <rptOwnerStreet2></rptOwnerStreet2>
            <rptOwnerCity>SAN FRANCISCO</rptOwnerCity>
            <rptOwnerState>CA</rptOwnerState>
            <rptOwnerZipCode>94107</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
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            <isOfficer>0</isOfficer>
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    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001219014</rptOwnerCik>
            <rptOwnerName>ROCKLAGE SCOTT M</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>501 2ND STREET, SUITE 350</rptOwnerStreet1>
            <rptOwnerStreet2></rptOwnerStreet2>
            <rptOwnerCity>SAN FRANCISCO</rptOwnerCity>
            <rptOwnerState>CA</rptOwnerState>
            <rptOwnerZipCode>94107</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>0</isDirector>
            <isOfficer>0</isOfficer>
            <isTenPercentOwner>1</isTenPercentOwner>
            <isOther>0</isOther>
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    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001598549</rptOwnerCik>
            <rptOwnerName>Schwab Andrew J.</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>501 2ND STREET, SUITE 350</rptOwnerStreet1>
            <rptOwnerStreet2></rptOwnerStreet2>
            <rptOwnerCity>SAN FRANCISCO</rptOwnerCity>
            <rptOwnerState>CA</rptOwnerState>
            <rptOwnerZipCode>94107</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>0</isDirector>
            <isOfficer>0</isOfficer>
            <isTenPercentOwner>1</isTenPercentOwner>
            <isOther>0</isOther>
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    </reportingOwner>

    <nonDerivativeTable>
        <nonDerivativeTransaction>
            <securityTitle>
                <value>Common Stock</value>
            </securityTitle>
            <transactionDate>
                <value>2019-09-16</value>
            </transactionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>J</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
                <footnoteId id="F1"/>
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            <transactionTimeliness>
                <value></value>
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            <transactionAmounts>
                <transactionShares>
                    <value>438694</value>
                </transactionShares>
                <transactionPricePerShare>
                    <value>0</value>
                </transactionPricePerShare>
                <transactionAcquiredDisposedCode>
                    <value>D</value>
                </transactionAcquiredDisposedCode>
            </transactionAmounts>
            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>3098567</value>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>I</value>
                </directOrIndirectOwnership>
                <natureOfOwnership>
                    <value>See footnotes</value>
                    <footnoteId id="F2"/>
                    <footnoteId id="F7"/>
                </natureOfOwnership>
            </ownershipNature>
        </nonDerivativeTransaction>
        <nonDerivativeTransaction>
            <securityTitle>
                <value>Common Stock</value>
            </securityTitle>
            <transactionDate>
                <value>2019-09-16</value>
            </transactionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>J</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
                <footnoteId id="F3"/>
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            <transactionTimeliness>
                <value></value>
            </transactionTimeliness>
            <transactionAmounts>
                <transactionShares>
                    <value>11306</value>
                </transactionShares>
                <transactionPricePerShare>
                    <value>0</value>
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                <transactionAcquiredDisposedCode>
                    <value>D</value>
                </transactionAcquiredDisposedCode>
            </transactionAmounts>
            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>79856</value>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>I</value>
                </directOrIndirectOwnership>
                <natureOfOwnership>
                    <value>See footnotes</value>
                    <footnoteId id="F4"/>
                    <footnoteId id="F7"/>
                </natureOfOwnership>
            </ownershipNature>
        </nonDerivativeTransaction>
        <nonDerivativeTransaction>
            <securityTitle>
                <value>Common Stock</value>
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            <transactionDate>
                <value>2019-09-16</value>
            </transactionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>J</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
                <footnoteId id="F5"/>
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            <transactionTimeliness>
                <value></value>
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            <transactionAmounts>
                <transactionShares>
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                <transactionPricePerShare>
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                <transactionAcquiredDisposedCode>
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                </transactionAcquiredDisposedCode>
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                    <value>85396</value>
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            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>I</value>
                </directOrIndirectOwnership>
                <natureOfOwnership>
                    <value>See footnotes</value>
                    <footnoteId id="F6"/>
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            </ownershipNature>
        </nonDerivativeTransaction>
        <nonDerivativeTransaction>
            <securityTitle>
                <value>Common Stock</value>
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            <transactionDate>
                <value>2019-09-16</value>
            </transactionDate>
            <transactionCoding>
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                <transactionCode>J</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
                <footnoteId id="F8"/>
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            <transactionTimeliness>
                <value></value>
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            <transactionAmounts>
                <transactionShares>
                    <value>17079</value>
                </transactionShares>
                <transactionPricePerShare>
                    <value>0</value>
                </transactionPricePerShare>
                <transactionAcquiredDisposedCode>
                    <value>A</value>
                </transactionAcquiredDisposedCode>
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                <sharesOwnedFollowingTransaction>
                    <value>17079</value>
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                <directOrIndirectOwnership>
                    <value>I</value>
                </directOrIndirectOwnership>
                <natureOfOwnership>
                    <value>See footnotes</value>
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            </ownershipNature>
        </nonDerivativeTransaction>
        <nonDerivativeTransaction>
            <securityTitle>
                <value>Common Stock</value>
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            <transactionDate>
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                <value></value>
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                <transactionShares>
                    <value>17079</value>
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                    <value>17079</value>
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            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>I</value>
                </directOrIndirectOwnership>
                <natureOfOwnership>
                    <value>See footnotes</value>
                    <footnoteId id="F11"/>
                </natureOfOwnership>
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        </nonDerivativeTransaction>
        <nonDerivativeTransaction>
            <securityTitle>
                <value>Common Stock</value>
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            <transactionDate>
                <value>2019-09-16</value>
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                <value></value>
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            <transactionAmounts>
                <transactionShares>
                    <value>8540</value>
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                <transactionPricePerShare>
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                <sharesOwnedFollowingTransaction>
                    <value>8540</value>
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            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>I</value>
                </directOrIndirectOwnership>
                <natureOfOwnership>
                    <value>See footnotes</value>
                    <footnoteId id="F13"/>
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        </nonDerivativeTransaction>
        <nonDerivativeTransaction>
            <securityTitle>
                <value>Common Stock</value>
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            <transactionDate>
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                <transactionFormType>4</transactionFormType>
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            <transactionAmounts>
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                    <value>8540</value>
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                <sharesOwnedFollowingTransaction>
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            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>I</value>
                </directOrIndirectOwnership>
                <natureOfOwnership>
                    <value>See footnotes</value>
                    <footnoteId id="F15"/>
                </natureOfOwnership>
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        </nonDerivativeTransaction>
        <nonDerivativeTransaction>
            <securityTitle>
                <value>Common Stock</value>
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            <transactionDate>
                <value>2019-09-16</value>
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            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>J</transactionCode>
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                <footnoteId id="F16"/>
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            <transactionTimeliness>
                <value></value>
            </transactionTimeliness>
            <transactionAmounts>
                <transactionShares>
                    <value>1002</value>
                </transactionShares>
                <transactionPricePerShare>
                    <value>0</value>
                </transactionPricePerShare>
                <transactionAcquiredDisposedCode>
                    <value>A</value>
                </transactionAcquiredDisposedCode>
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            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>1002</value>
                </sharesOwnedFollowingTransaction>
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            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>I</value>
                </directOrIndirectOwnership>
                <natureOfOwnership>
                    <value>See footnotes</value>
                    <footnoteId id="F17"/>
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    <footnotes>
        <footnote id="F1">Represents a pro-rata in-kind distribution of Common Stock of the Issuer by 5AM Ventures III, L.P. (&quot;Ventures III&quot;) without consideration to its partners.</footnote>
        <footnote id="F2">These Securities are held of record by Ventures III.</footnote>
        <footnote id="F3">Represents a pro-rata in-kind distribution of Common Stock of the Issuer by 5AM Co-Investors III, L.P. (&quot;Co-Investors III&quot;) without consideration to its partners.</footnote>
        <footnote id="F4">These Securities are held of record by Co-Investors III.</footnote>
        <footnote id="F5">Represents a change in the form of ownership of 5AM Partners III, LLC (&quot;Partners III&quot;) by virtue of the receipt of shares in the pro-rata in-kind distribution of Common Stock of the Issuer for no consideration by Ventures III and Co-Investors III.</footnote>
        <footnote id="F6">These Securities are held of record by Partners III.  Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners III, and may be deemed to have shared voting and investment power over the shares beneficially owned by Partners III.  Each of Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of his pecuniary interest therein.</footnote>
        <footnote id="F7">Partners III is the sole general partner of Ventures III and Co-Investors III. Dr. John D. Diekman, Andrew J. Schwab and Dr. Scott M. Rocklage are the managing members of Partners III, and may be deemed to have shared voting and investment power over the shares beneficially owned by Ventures III and Co-Investors III. Each of Partners III, Dr. Diekman, Mr. Schwab and Dr. Rocklage disclaim beneficial ownership of such shares except to the extent of its or his pecuniary interest therein.</footnote>
        <footnote id="F8">Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to John D. Diekman and Susan P. Diekman Trustees Diekman Revocable Trust Dtd 6/30/95 (&quot;Diekman Trust&quot;).</footnote>
        <footnote id="F9">These securities are held of record by Diekman Trust. Dr. Diekman is a trustee and beneficiary of the Diekman Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.</footnote>
        <footnote id="F10">Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to the Schwab Family Trust, Andrew J. Schwab and Catarina N. Schwab, as Trustees of the Schwab Family Trust, dated October 26, 2007 (&quot;Schwab Family Trust&quot;).</footnote>
        <footnote id="F11">These securities are held of record by Schwab Family Trust. Mr. Schwab is a trustee and beneficiary of the Schwab Family Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.</footnote>
        <footnote id="F12">Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to Scott M. Rocklage Revocable Trust dated 10/22/15; Trustees: Scott M. Rocklage and Patty B. Rocklage (&quot;Rocklage Trust&quot;).</footnote>
        <footnote id="F13">These securities are held of record by Rocklage Trust. Dr. Rocklage is a trustee and beneficiary of the Rocklage Trust and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.</footnote>
        <footnote id="F14">Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Partners III to MADRock II LLC (&quot;MADRock II&quot;).</footnote>
        <footnote id="F15">These securities are held of record by MADRock II. Dr. Rocklage is a manager of MADRock II and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.</footnote>
        <footnote id="F16">Represents the receipt of shares of Common Stock of the Issuer by virtue of the pro-rata in-kind distribution by Co-Investor III to Dr. John D. Diekman.</footnote>
        <footnote id="F17">These securities are held of record by Dr. John D. Diekman and disclaims beneficial ownership of these securities, except to the extent of his proportionate pecuniary interest therein.</footnote>
    </footnotes>

    <ownerSignature>
        <signatureName>5AM PARTNERS III, LLC By: /s/ Andrew J. Schwab Name: Andrew J. Schwab Title: Managing Member</signatureName>
        <signatureDate>2019-09-18</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>5AM VENTURES III, L.P. By: 5AM Partners III, LLC Its: General Partner By: /s/ Andrew J. Schwab Name: Andrew J. Schwab Title: Managing Member</signatureName>
        <signatureDate>2019-09-18</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>5AM CO-INVESTORS III, L.P. By: 5AM Partners III, LLC Its: General Partner By: /s/ Andrew J. Schwab Name: Andrew J. Schwab Title: Managing Member</signatureName>
        <signatureDate>2019-09-18</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>By: /s/ Dr. John D. Diekman</signatureName>
        <signatureDate>2019-09-18</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>By: /s/ Dr. Scott M. Rocklage</signatureName>
        <signatureDate>2019-09-18</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>By: /s/ Andrew Schwab</signatureName>
        <signatureDate>2019-09-18</signatureDate>
    </ownerSignature>
</ownershipDocument>
</XML>
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
