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
  1. The Issuer's Series A Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.
  2. 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.
  3. 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.
  4. 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.