Initial Statement of Beneficial Ownership (3)
23 Juni 2020 - 12:25AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
Blanks Robert |
2. Date of Event Requiring Statement (MM/DD/YYYY)
6/9/2020
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3. Issuer Name and Ticker or Trading Symbol
ARDELYX, INC. [ARDX]
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(Last)
(First)
(Middle)
C/O ARDELYX, INC. 34175 ARDENWOOD BLVD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner
___X___ Officer (give title below) _____ Other (specify below)
See Remarks / |
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(Street)
FREMONT, CA 94555
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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 | 115395 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4) | 2. Date Exercisable and Expiration Date
(MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: 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 |
| Stock Option (Right to Buy) | (2) | 7/18/2023 | Common Stock | 33333 | $3.42 | D | |
| Stock Option (Right to Buy) | (2) | 1/6/2025 | Common Stock | 7657 | $23.02 | D | |
| Stock Option (Right to Buy) | (2) | 1/15/2026 | Common Stock | 30810 | $10.55 | D | |
| Stock Option (Right to Buy) | (3) | 1/19/2027 | Common Stock | 63628 | $13.90 | D | |
| Stock Option (Right to Buy) | (2) | 8/9/2027 | Common Stock | 19884 | $4.70 | D | |
| Stock Option (Right to Buy) | (4) | 1/16/2028 | Common Stock | 87828 | $7.10 | D | |
| Stock Option (Right to Buy) | (5) | 7/26/2028 | Common Stock | 54730 | $4.30 | D | |
| Stock Option (Right to Buy) | (6) | 1/17/2029 | Common Stock | 80000 | $2.32 | D | |
| Stock Option (Right to Buy) | (7) | 1/9/2030 | Common Stock | 139365 | $7.60 | D | |
| Explanation of Responses: |
| (1) | Includes 100,000 restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof. |
| (2) | The option is fully vested and exercisable. |
| (3) | The option becomes exercisable as it vests and the shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of January 19, 2017, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. |
| (4) | The option becomes exercisable as it vests and the shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of January 16, 2018, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. |
| (5) | The option becomes exercisable as it vests and the shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of July 26, 2018, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. |
| (6) | The option becomes exercisable as it vests and the shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of January 17, 2019, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. |
| (7) | The option becomes exercisable as it vests and the shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of January 9, 2020, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. |
Remarks:
Chief Regulatory and Quality Affairs Officer |
Reporting Owners
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| Reporting Owner Name / Address | Relationships |
| Director | 10% Owner | Officer | Other |
Blanks Robert
C/O ARDELYX, INC. 34175 ARDENWOOD BLVD
FREMONT, CA 94555 |
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| See Remarks |
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Signatures
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| /s/ Elizabeth Grammer, Attorney-in-Fact for Robert Blanks | | 6/22/2020 |
| **Signature of Reporting Person | Date |
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