Novartis AG — Director's Dealing 2020

Jun 19, 2020

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Forma Therapeutics Holdings, Inc., (FMTX)
CIK: 0001538927
Period of Report: 2020-06-18

Reporting Person: Novartis Bioventures Ltd (10% Owner)
Reporting Person: NOVARTIS AG (10% Owner)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	331221	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series A Convertible Preferred Stock	$		Common Stock (553656)		Indirect
Series B Convertible Preferred Stock	$		Common Stock (1363723)		Indirect
Series C Convertible Preferred Stock	$		Common Stock (743105)		Indirect

Footnotes

F1: Novartis Bioventures Ltd. is the record holder of the securities reported herein. As the indirect parent of Novartis Bioventures Ltd., Novartis AG may be deemed to share beneficial ownership of these securities.

F2: Each share of Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock is convertible into common stock on a one-for-4.2775 basis into the number of share 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. The Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock have no expiration date.