SEC Form 3
| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 01/25/2013 | 3. Issuer Name and Ticker or Trading Symbol Arno Therapeutics, Inc [ ARNI ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) 02/12/2013 | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock | 280,763(1)(2)(3) | I | By Commercial Street Capital, LLC(4) |
| Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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| Explanation of Responses: |
| 1. This amendment is being filed to include additional reporting persons and to reflect Steven B. Ruchefsky ("Ruchefsky") as a 10% owner. The reporting persons have re-reported the securities held in Table I to gain access to the EDGAR filing system and the Amount of Securities Beneficially Owned has been adjusted to reflect a 1-for-8 combination of the Issuer's common stock completed on 10/29/13. |
| 2. This form is being filed to amend the Form 3 originally filed by Ruchefsky on February 12, 2013, to include Commercial Street Capital LLC ("CSC") and S. Donald Sussman ("Sussman") as additional reporting persons. This form is also intended to amend Form 4 statements filed by Ruchefsky on each of 4/9/13, 5/7/13, 6/4/13, 10/31/13, 11/6/13, 1/28/14, 11/6/14, 11/6/15, 1/14/16 and 4/11/16, and a Form 5 filed on 2/17/15 (the "Prior Statements") to reflect that (a) the securities shown therein as indirectly held by Ruchefsky through CSC may also be deemed to be beneficially owned by CSC and Sussman and (b) the securities shown in the Prior Statements filed on or after 10/31/13 as directly held by Ruchefsky may also be deemed to be beneficially owned by CSC and Sussman. Each of Ruchefsky and Sussman are co-managing members of CSC and as such may be deemed to beneficially own the securities held by CSC. |
| 3. Each of Ruchefsky and Sussman disclaims beneficial ownership of the securities held by CSC, except to the extent of their pecuniary interest therein, and this Form 3/A shall not be deemed an admission by Ruchefsky or Sussman that either is a beneficial owner of any securities held by CSC for purposes of Section 16 of the Exchange Act or for any other purpose. Each of CSC and Sussman disclaims beneficial ownership of the securities directly held by Ruchefsky as reflected in the Prior Statements, except to the extent of their pecuniary interest therein, and this Form 3/A shall not be deemed an admission by CSC or Sussman that either is a beneficial owner of any securities held by Ruchefsky for purposes of Section 16 of the Exchange Act or for any other purpose. |
| 4. CSC has a contractual right to designate one member of the Issuer's board of directors and has designated Ruchefsky, a director of the Issuer, pursuant to such right. Accordingly, each of CSC and Sussman, as a co-managing member of CSC, may be deemed to be directors by deputization for purposes of Section 16 of the Exchange Act. |
| Remarks: |
| /s/ Christopher J. Melsha as Attorney-in-Fact for Steven B. Ruchefsky pursuant to Power of Attorney previously filed. | 09/08/2016 | |
| /s/ Christopher J. Melsha as Attorney-in-Fact for S. Donald Sussman pursuant to Power of Attorney filed herewith. | 09/08/2016 | |
| /s/ Christopher J. Melsha as Attorney-in-Fact for Steven B. Ruchefsky, Co-Managing Member of Commercial Street Capital, LLC | 09/08/2016 | |
| ** 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 5 (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. | ||