C4 Therapeutics, Inc. — Director's Dealing 2020

Oct 2, 2020

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: C4 Therapeutics, Inc. (CCCC)
CIK: 0001662579
Period of Report: 2020-10-01

Reporting Person: Anderson Kenneth Carl (Director)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	62336	Direct
Common Stock	26998	Indirect
Common Stock	22299	Indirect
Common Stock	22299	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series A Preferred Stock	$		Common Stock (18040)		Direct
Series A Preferred Stock	$		Common Stock (18040)		Indirect
Series A Preferred Stock	$		Common Stock (41244)		Indirect
Series A Preferred Stock	$		Common Stock (41244)		Indirect
Series B Preferred Stock	$		Common Stock (16939)		Indirect
Series B Preferred Stock	$		Common Stock (16939)		Indirect
Stock Option (Right to Buy)	$2.11	2026-07-12	Common Stock (3745)		Direct
Stock Option (Right to Buy)	$2.11	2026-07-12	Common Stock (118)		Direct
Stock Option (Right to Buy)	$4.98	2030-07-02	Common Stock (5335)		Direct

Footnotes

F1: Shares held by the Kenneth C. Anderson 2016 Grantor Retained Annuity Trust. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F2: Shares held the Cynthia E. Anderson 2016 Grantor Retained Annuity Trust. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F3: Share of Series A Preferred Stock and Series B Preferred Stock are convertible into Common Stock on a 8.4335-to-one basis into the aggregate number of shares of Common Stock shown in Column 3 at any time at the holder's election, and automatically upon the closing of the Issuer's initial public offering without payment or further consideration. The shares have no expiration date.

F4: Shares held by the Kenneth C. Anderson 2015 Irrevocable Trust. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F5: Shares held the Cynthia E. Anderson 2015 Irrevocable Trust. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

F6: Represents underlying unexercised stock options that were granted on July 13, 2016. The terms of the original grant provide that 12.5% of this option vested and became exercisable on December 31, 2016, with the remainder vesting in 28 equal quarterly installments thereafter.

F7: Represents underlying unexercised stock options that were granted on July 13, 2016. The terms of the original grant provide that 20% of this option vested and became exercisable on January 1, 2017, with the remainder vesting in 16 equal quarterly installments thereafter.

F8: This option shall vest and become exercisable in 12 equal quarterly installments, with the first installment vesting on October 1, 2020.