Filing Details
- Accession Number:
- 0001209191-21-042795
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-06-23 17:33:13
- Reporting Period:
- 2021-06-21
- Accepted Time:
- 2021-06-23 17:33:13
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1806952 | Lyell Immunopharma Inc. | LYEL | () | 4 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1411874 | Cathy Friedman | C/O Lyell Immunopharma, Inc. 400 East Jamie Court, Suite 301 South San Francisco CA 94080 | Yes | No | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2021-06-21 | 3,765,842 | $0.00 | 3,765,842 | No | 4 | C | Indirect | Lyell Investors, LLC |
Common Stock | Acquisiton | 2021-06-21 | 17,648 | $17.00 | 17,648 | No | 4 | P | Indirect | MSL FBO J DUANE & C FRIEDMAN TTEE DUANE FAMILY TRUST |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Indirect | Lyell Investors, LLC |
No | 4 | P | Indirect | MSL FBO J DUANE & C FRIEDMAN TTEE DUANE FAMILY TRUST |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series A Convertible Preferred Stock | Disposition | 2021-06-21 | 3,765,842 | $0.00 | 3,765,842 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Indirect |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 100,000 | Indirect | The Duane Irrevocable Trust 2020 |
Footnotes
- The Issuer's Series A Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.
- The Reporting Person is a member of Lyell Investors, LLC and therefore may be deemed to share the power to direct the disposition and vote ofthe shares held by Lyell Investors, LLC. The Reporting Person disclaims beneficial ownership of all shares held by Lyell Investors, LLC except toany pecuniary interest therein.
- The Reporting Person is a trustee of MSL FBO J DUANE & C FRIEDMAN TTEEDUANE FAMILY TRUST ("Duane Family Trust") and therefore may be deemed to share the power to direct the disposition and vote of the shares held by the Duane Family Trust. The Reporting Person disclaims beneficial ownership of all shares held by Duane Family Trust except to any pecuniary interest therein.
- The Reporting Person is a trustee of The Duane Irrevocable Trust 2020 ("Duane Irrevocable Trust") and therefore may be deemed to share the power todirect the disposition and vote of the shares held by the Duane Irrevocable Trust. The Reporting Person disclaims beneficial ownership of all shares held by Duane Irrevocable Trust except to any pecuniary interest therein.