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Lyell Immunopharma, Inc. — Director's Dealing 2021
Jun 23, 2021
33362_dirs_2021-06-23_d6e91c91-6f59-4cf7-8bce-803f5ca067cf.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Lyell Immunopharma, Inc. (LYEL)
CIK: 0001806952
Period of Report: 2021-06-21
Reporting Person: Klausner Richard (Director, Executive Chairman)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-06-21 | Common Stock | C | 3765842 | — | Acquired | 3765842 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-06-21 | Series A Convertible Preferred Stock | $ | C | 3765842 | Disposed | Common Stock (3765842) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 2967834 | Direct |
Footnotes
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 manager of Lyell Investors, LLC
(Lyell Investors) and may be deemed to share the power to direct the disposition and vote of the shares held by Lyell Investors. The Reporting
Person disclaims beneficial ownership of all shares held by Lyell Investors except to any pecuniary interest therein
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