FRIEDMAN CATHY 4
4 · Lyell Immunopharma, Inc. · Filed Jun 23, 2021
Insider Transaction Report
Form 4
FRIEDMAN CATHY
Director
Transactions
- Purchase
Common Stock
2021-06-21$17.00/sh+17,648$300,016→ 17,648 total(indirect: By Trust) - Conversion
Series A Convertible Preferred Stock
2021-06-21−3,765,842→ 0 total(indirect: By LLC)→ Common Stock (3,765,842 underlying) - Conversion
Common Stock
2021-06-21+3,765,842→ 3,765,842 total(indirect: By LLC)
Holdings
- 100,000(indirect: By Trust)
Common Stock
Footnotes (4)
- [F1]The Issuer's Series A Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.
- [F2]The Reporting Person is a member of Lyell Investors, LLC and therefore may be deemed to share the power to direct the disposition and vote of the shares held by Lyell Investors, LLC. The Reporting Person disclaims beneficial ownership of all shares held by Lyell Investors, LLC except to any pecuniary interest therein.
- [F3]The Reporting Person is a trustee of MSL FBO J DUANE & C FRIEDMAN TTEE DUANE FAMILY TRUST ("Duane Family Trust") and therefore may be deemed to share the power to direct the disposition and vote of the shares held by the Duane Family Trust. The Reporting Person disclaims beneficial ownership of all shares held by Duane Family Trust except to any pecuniary interest therein.
- [F4]The Reporting Person is a trustee of The Duane Irrevocable Trust 2020 ("Duane Irrevocable Trust") and therefore may be deemed to share the power to direct the disposition and vote of the shares held by the Duane Irrevocable Trust. The Reporting Person disclaims beneficial ownership of all shares held by Duane Irrevocable Trust except to any pecuniary interest therein.