SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
  
 Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
LaChapelle Robin
(Last) (First) (Middle)
C/O ARRIVENT BIOPHARMA, INC.
18 CAMPUS BOULEVARD, SUITE 100
(Street)
NEWTOWN SQUARE PA 19073
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
ArriVent BioPharma, Inc. [ AVBP ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Operating Officer
3. Date of Earliest Transaction (Month/Day/Year)
09/19/2024
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 09/19/2024 M 2,700 A $6.24 99,717 D
Common Stock 09/19/2024 M 2,867 A $2.28 102,584 D
Common Stock 09/19/2024 M 7,164 A $2.28 109,748 D
Common Stock 09/19/2024 M 2,471 A $2.28 112,219 D
Common Stock 09/19/2024 M 12,364 A $3.65 124,583 D
Common Stock 394,477 I Held by The MAKS Yao Trust(1)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (right to buy) $2.28 09/19/2024 M 2,471 (2) 09/07/2031 Common Stock 2,471 $0 2,460 D
Stock Option (right to buy) $2.28 09/19/2024 M 2,867 (3) 01/31/2032 Common Stock 2,867 $0 22,637 D
Stock Option (right to buy) $2.28 09/19/2024 M 7,164 (3) 01/31/2032 Common Stock 7,164 $0 15,473 D
Stock Option (right to buy) $3.65 09/19/2024 M 12,364 (4) 01/31/2033 Common Stock 12,364 $0 18,865 D
Stock Option (right to buy) $6.24 09/19/2024 M 2,700 (5) 08/21/2033 Common Stock 2,700 $0 56,471 D
Explanation of Responses:
1. The Reporting Person is the Trustee of The MAKS Yao Trust and may be deemed to have shared voting and investment power over the shares held by The MAKS Yao Trust. The Reporting Person does not have a pecuniary interest in and disclaims beneficial ownership of the shares held by The MAKS Yao Trust.
2. The shares underlying this option vested as to 25% on September 8, 2022, with the remainder vesting in 36 equal monthly installments thereafter, subject to the Reporting Person's continued service through the applicable vesting date.
3. The shares underlying this option vested as to 25% on February 1, 2023, with the remainder vesting in 36 equal monthly installments thereafter, subject to the Reporting Person's continued service through the applicable vesting date.
4. The shares underlying this option vested as to 25% on February 1, 2024, with the remainder vesting in 36 equal monthly installments thereafter, subject to the Reporting Person's continued service through the applicable vesting date.
5. The shares underlying this option vested as to 25% on August 22, 2024, with the remainder vesting in 36 equal monthly installments thereafter, subject to the Reporting Person's continued service through the applicable vesting date.
By: /s/ James Kastenmayer, Attorney-in-Fact For: Robin LaChapelle 09/23/2024
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
ArriVent BioPharma (NASDAQ:AVBP)
Gráfica de Acción Histórica
De Nov 2024 a Dic 2024 Haga Click aquí para más Gráficas ArriVent BioPharma.
ArriVent BioPharma (NASDAQ:AVBP)
Gráfica de Acción Histórica
De Dic 2023 a Dic 2024 Haga Click aquí para más Gráficas ArriVent BioPharma.