YAO TONY DUNG LING 4

4 · 4D Molecular Therapeutics Inc. · Filed Dec 17, 2020

Form 4

Period: 2020-12-15

Director

Transactions

Conversion
Common Stock
[F1]
2020-12-15+2,864→ 2,864 total
Conversion
Common Stock
[F1][F2]
2020-12-15+455,326→ 455,326 total(indirect: See Footnote)
Conversion
Common Stock
[F3][F2]
2020-12-15+180,554→ 635,880 total(indirect: See Footnote)
Purchase
Common Stock
[F2]
2020-12-15$23.00/sh+425,000$9,775,000→ 1,060,880 total(indirect: See Footnote)
Conversion
Series B Preferred Stock
[F1]
2020-12-15−2,864→ 0 total
→ Common Stock (2,864 underlying)
Conversion
Series B Preferred Stock
[F1][F2]
2020-12-15−455,326→ 0 total(indirect: See Footnote)
→ Common Stock (455,326 underlying)
Conversion
Series C Preferred Stock
[F3][F2]
2020-12-15−180,554→ 0 total(indirect: See Footnote)
→ Common Stock (180,554 underlying)

Footnotes (3)

[F1]The Series B Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date.
[F2]These securities are held of record by ArrowMark Life Science Fund, LP, ArrowMark Fundamental Opportunity Fund L.P., CF Ascent LLC, Iron Horse Investments, LLC, Lookfar Investments, LLC, Meridian Small Cap Growth Fund and THB Iron Rose, LLC Life Science Portfolio (together, the "ArrowMark Funds"). ArrowMark Colorado Holdings LLC ("ArrowMark Colorado") is an investment advisor to the ArrowMark Funds. The reporting person is employed as a portfolio manager for ArrowMark Colorado and has direct voting and dispositive control over the shares held by the ArrowMark Funds. The reporting person disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein.
[F3]The Series C Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately upon the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

Signature

/s/ August J. Moretti, Attorney-in-Fact for Tony Dung Ling Yao|2020-12-17

Documents

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