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)
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2. Date of Event Requiring Statement
(Month/Day/Year) 12/30/2014 |
3. Issuer Name and Ticker or Trading Symbol
ARCA biopharma, Inc. [ ABIO ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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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 | 11,166(1) | D |
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 | ||||
Stock Options (Right to buy) | 05/01/2011 | 05/02/2017 | Common Stock | 834 | $10.8 | D | |
Stock Options (Right to buy) | 02/12/2012 | 02/11/2018 | Common Stock | 1,252 | $11.16 | D | |
Stock Options (Right to buy) | 01/23/2013 | 01/22/2019 | Common Stock | 417 | $33.42 | D | |
Stock Options (Right to buy) | 06/25/2013 | 06/25/2019 | Common Stock | 626 | $17.4 | D | |
Stock Options (Right to buy) | 02/18/2013 | 02/18/2020 | Common Stock | 533 | $17.82 | D | |
Stock Options (Right to buy) | 05/20/2014 | 05/20/2021 | Common Stock | 1,333 | $13.44 | D | |
Stock Options (Right to buy) | (2) | 09/16/2023 | Common Stock | 29,214 | $1.38 | D | |
Stock Options (Right to buy) | (3) | 02/26/2024 | Common Stock | 7,500 | $1.95 | D |
Explanation of Responses: |
1. Represents 11,166 unvested shares issued as restricted stock units (an "RSU") under the Issuer's 2013 Equity Incentive Plan (the "Plan"). A total of 10,000 RSUs that vest in three equal annual installments were granted on September 17, 2013. 6,666 of the remaining RSUs vest in two equal annual installments on September 17, 2015 and September 17, 2016, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan prior to such time. 4,500 of the RSUs vest in four equal annual installments from February 27, 2014, the date of grant, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan prior to such time. |
2. Grant to the Reporting Person of a stock option under the Plan, vesting in 36 equal monthly installments from September 17, 2013, the date of grant, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan prior to such time. |
3. Grant to the Reporting Person of a stock option under the Plan, vesting in 48 equal monthly installments from February 27, 2014, the date of grant, provided that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan prior to such time. |
Remarks: |
/s/ Brian L. Selby | 12/30/2014 | |
** 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. |