Annexon, Inc. — Director's Dealing 2020

Jul 23, 2020

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Annexon, Inc. (ANNX)
CIK: 0001528115
Period of Report: 2020-07-23

Reporting Person: Satter Muneer A (Director)

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series A-1 Preferred Stock	$		Common Stock (3095238)		Indirect
Series B Preferred Stock	$		Common Stock (4016573)		Indirect
Series C Preferred Stock	$		Common Stock (5537036)		Indirect
Series D Preferred Stock	$		Common Stock (2812543)		Indirect

Footnotes

F1: The shares of Series A-1 Preferred Stock will automatically convert on a 1-for-8.81 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.

F2: The amount in Column 3 includes (a) 952,381 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares and (b) 2,142,857 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clause (b) of this footnote (2), except to the extent of his pecuniary interest.

F3: The shares of Series B Preferred Stock will automatically convert on a 1-for-8.81 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.

F4: The amount in Column 3 includes (a) 1,162,022 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares and (b) 2,854,551 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clause (b) of this footnote (4), except to the extent of his pecuniary interest.

F5: The shares of Series C Preferred Stock will automatically convert on a 1-for-8.81 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.

F6: Represents shares held by Satter Medical Technology Partners, L.P., for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in this footnote (6), except to the extent of his pecuniary interest.

F7: The shares of Series D Preferred Stock will automatically convert on a 1-for-8.81 basis into Common Stock immediately prior to the closing of the Issuer's initial public offering.