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person · Reporting owner

Epstein David R

Disclosed activity across 9 companies

Tapewire entity
1546
SEC CIK
0001445826

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
AgomAb Therapeutics NVAGMB · Entity 5259DirectorOctober 08, 2026October 09, 2026
Axcella Health Inc.AXLA · Entity 116059DirectorMay 19, 2022June 03, 2022
Evelo Biosciences, Inc.EVLO · Entity 108468DirectorJune 30, 2022June 30, 2022
INTERNATIONAL FLAVORS & FRAGRANCES INCIFF · Entity 3234DirectorNovember 02, 2020November 04, 2020
Opy Acquisition Corp. IOHAA · Entity 133726DirectorOctober 26, 2021October 27, 2021
Rubius Therapeutics, Inc.RUBY · Entity 116417DirectorMay 12, 2022May 13, 2022
Senti Biosciences Holdings, Inc.SNTI · Entity 7935DirectorJuly 13, 2022July 15, 2022
Tempus AI, Inc.TEM · Entity 1545DirectorSeptember 01, 2026September 03, 2026

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

AgomAb Therapeutics NV

Report date October 08, 2026 · Filed October 09, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common sharesSEC Table I · non-derivativeDirect15,000 Reported balance After 2026-10-08 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2026-10-08 · Purchase · Acquired 5,000 · Balance 15,000

F1: The common shares may be represented by American Depositary Shares, each of which currently represents one common share.

Filing footnotes · ownership attribution and instrument terms

F1: The common shares may be represented by American Depositary Shares, each of which currently represents one common share.

Axcella Health Inc.

Report date May 19, 2022 · Filed June 03, 2022

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect209,756 Reported balance After 2022-05-19 transaction · row 1
1 source row

Row 1 · 2022-05-19 · Grant · Acquired 47,059 · Balance 209,756

F1: Represents a grant of 47,059 restricted stock units ("RSUs"), each representing a contingent right to receive one share of AXLA common stock. The shares underlying this grant shall vest in twelve equal monthly installments following the grant date, subject to the Reporting Person's continued service on each such vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: Represents a grant of 47,059 restricted stock units ("RSUs"), each representing a contingent right to receive one share of AXLA common stock. The shares underlying this grant shall vest in twelve equal monthly installments following the grant date, subject to the Reporting Person's continued service on each such vesting date.

Evelo Biosciences, Inc.

Report date June 30, 2022 · Filed June 30, 2022

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect93,932 Ending reported balance After 2022-06-30 transaction · row 2
2 source rows · reconciled sequence

Row 1 · 2022-06-30 · Exercise / conversion · Acquired 2,053 · Balance 91,058

F1: Settlement of shares of Common Stock acquired upon the vesting of Restricted Stock Units previously granted to the reporting person.

Row 2 · 2022-06-30 · Exercise / conversion · Acquired 2,874 · Balance 93,932

F1: Settlement of shares of Common Stock acquired upon the vesting of Restricted Stock Units previously granted to the reporting person.

Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00Direct0 Reported balance After 2022-06-30 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2022-06-30 · Exercise / conversion · Disposed 2,053 · Balance 0

F2: The Restricted Stock Units vest in 12 substantially equal monthly installments following the June 30, 2021 grant date, subject to the reporting person's continued service as chair of the board of directors of the issuer on such vesting dates.

Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00Direct0 Reported balance After 2022-06-30 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2022-06-30 · Exercise / conversion · Disposed 2,874 · Balance 0

F3: The Restricted Stock Units vest in 12 substantially equal monthly installments following the June 30, 2021 grant date, subject to the reporting person's continued service as a consultant to the issuer on such vesting dates.

Filing footnotes · ownership attribution and instrument terms

F1: Settlement of shares of Common Stock acquired upon the vesting of Restricted Stock Units previously granted to the reporting person.

F2: The Restricted Stock Units vest in 12 substantially equal monthly installments following the June 30, 2021 grant date, subject to the reporting person's continued service as chair of the board of directors of the issuer on such vesting dates.

F3: The Restricted Stock Units vest in 12 substantially equal monthly installments following the June 30, 2021 grant date, subject to the reporting person's continued service as a consultant to the issuer on such vesting dates.

INTERNATIONAL FLAVORS & FRAGRANCES INC

Report date November 02, 2020 · Filed November 04, 2020

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Equivalent UnitSEC Table II · derivative / convertible securityDirect6,397.471 Reported balance After 2020-11-02 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2020-11-02 · Grant · Acquired 1,070.715 · Balance 6,397.471

F1: The Stock Equivalent Units ("Units") convert to Common Stock on a one-for-one basis.

F2: Units under the Company's deferred compensation plan resulting from deferral of director fees.

F3: The Units are payable in Common Stock upon the reporting person ceasing to serve as a member of the Company's Board of Directors.

F4: Includes Units acquired during the period upon reinvestment of dividends under the Company's deferred compensation plan during 2020. The transactions were exempt pursuant to Rule 16a-11.

Restricted Stock UnitsSEC Table II · derivative / convertible security · Expires 2021-05-06Direct1,047 Reported balance Holding disclosure · report date 2020-11-02 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · Balance 1,047

F5: The Restricted Stock Units ("RSUs") convert to Common Stock on a one-for-one basis.

Filing footnotes · ownership attribution and instrument terms

F1: The Stock Equivalent Units ("Units") convert to Common Stock on a one-for-one basis.

F2: Units under the Company's deferred compensation plan resulting from deferral of director fees.

F3: The Units are payable in Common Stock upon the reporting person ceasing to serve as a member of the Company's Board of Directors.

F4: Includes Units acquired during the period upon reinvestment of dividends under the Company's deferred compensation plan during 2020. The transactions were exempt pursuant to Rule 16a-11.

F5: The Restricted Stock Units ("RSUs") convert to Common Stock on a one-for-one basis.

Opy Acquisition Corp. I

Report date October 26, 2021 · Filed October 27, 2021

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance Holding disclosure · report date 2021-10-26 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 0

Rubius Therapeutics, Inc.

Report date May 12, 2022 · Filed May 13, 2022

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.24 · Expires 2032-05-11Direct499,762 Reported balance After 2022-05-12 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2022-05-12 · Grant · Acquired 499,762 · Balance 499,762

F1: This option is fully vested at the time of grant.

Filing footnotes · ownership attribution and instrument terms

F1: This option is fully vested at the time of grant.

Senti Biosciences Holdings, Inc.

Report date July 13, 2022 · Filed July 15, 2022

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.75 · Expires 2032-07-12Direct125,000 Reported balance After 2022-07-13 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2022-07-13 · Grant · Acquired 125,000 · Balance 125,000

F1: The shares underlying this option vest in 36 substantially equal monthly installments over three years from July 13, 2022, subject to the reporting person's continued service through the applicable vesting date. The vested shares subject to such option shall be exercisable upon the effectiveness of the Issuer's registration statement on Form S-8, registering the shares of the Issuer's 2022 Equity Incentive Plan with the U.S. Securities and Exchange Commission.

Filing footnotes · ownership attribution and instrument terms

F1: The shares underlying this option vest in 36 substantially equal monthly installments over three years from July 13, 2022, subject to the reporting person's continued service through the applicable vesting date. The vested shares subject to such option shall be exercisable upon the effectiveness of the Issuer's registration statement on Form S-8, registering the shares of the Issuer's 2022 Equity Incentive Plan with the U.S. Securities and Exchange Commission.

Tempus AI, Inc.

Report date September 01, 2026 · Filed September 03, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Class A Common StockSEC Table I · non-derivativeDirect30,844 Reported balance After 2026-09-01 transaction · row 1
1 source row

Row 1 · 2026-09-01 · Sale · Disposed 250 · Balance 30,844

F1: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 27, 2024.

Filing footnotes · ownership attribution and instrument terms

F1: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 27, 2024.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

Seagen Inc.

Report date December 14, 2023 · Filed December 15, 2023

Section 16 reporting ended · disclosed 2023-12-15. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2023-12-14 transaction · row 1
1 source row

Row 1 · 2023-12-14 · Disposition to issuer · Disposed 16,407 · Balance 0

F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

F2: Pursuant to the Merger Agreement, at the Effective Time, each issued and outstanding share of Common Stock (other than certain excluded shares described in the Merger Agreement) was cancelled and converted automatically into the right to receive cash in an amount equal to $229.00 per share of Common Stock (the "Merger Consideration").

Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $137.96 · Expires 2032-11-09Direct0 Reported balance After 2023-12-14 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2023-12-14 · Disposition to issuer · Disposed 2,896 · Balance 0

F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

F3: Pursuant to the Merger Agreement, each outstanding option, whether or not then vested, was cancelled in exchange for the right to receive an amount in cash equal to the product of (i) the excess, if any, of the Merger Consideration over the per-share exercise price of such option, multiplied by (ii) the number of shares of Common Stock then subject to such option.

Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $137.96 · Expires 2032-11-09Direct0 Reported balance After 2023-12-14 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2023-12-14 · Disposition to issuer · Disposed 240,451 · Balance 0

F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

F3: Pursuant to the Merger Agreement, each outstanding option, whether or not then vested, was cancelled in exchange for the right to receive an amount in cash equal to the product of (i) the excess, if any, of the Merger Consideration over the per-share exercise price of such option, multiplied by (ii) the number of shares of Common Stock then subject to such option.

Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $137.96 · Expires 2032-11-09Direct0 Reported balance After 2023-12-14 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2023-12-14 · Disposition to issuer · Disposed 224,000 · Balance 0

F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

F3: Pursuant to the Merger Agreement, each outstanding option, whether or not then vested, was cancelled in exchange for the right to receive an amount in cash equal to the product of (i) the excess, if any, of the Merger Consideration over the per-share exercise price of such option, multiplied by (ii) the number of shares of Common Stock then subject to such option.

Restricted Stock UnitsSEC Table II · derivative / convertible securityDirect0 Reported balance After 2023-12-14 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2023-12-14 · Disposition to issuer · Disposed 80,541 · Balance 0

F4: Pursuant to the Merger Agreement, at the Effective Time, each outstanding restricted stock unit (each, a "Company RSU"), other than any Post-Signing Company RSU (as defined below), was cancelled and converted into the right to receive an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company RSU.

F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

Restricted Stock UnitsSEC Table II · derivative / convertible securityDirect0 Reported balance After 2023-12-14 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2023-12-14 · Disposition to issuer · Disposed 39,650 · Balance 0

F5: Pursuant to the Merger Agreement, at the Effective Time, each outstanding Company RSU granted after March 12, 2023 that was unvested as of immediately prior to the Effective Time (each, a "Post-Signing Company RSU") was cancelled and converted into the right to receive a Parent cash-based award subject to service-based vesting requirements with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Post-Signing Company RSU.

F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

Performance Stock UnitsSEC Table II · derivative / convertible securityDirect0 Reported balance After 2023-12-14 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2023-12-14 · Disposition to issuer · Disposed 2,644 · Balance 0

F6: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit (each, a "Company PSU"), other than any Company Products PSU or any Company August 2023 PSU (each, as defined below), was cancelled and converted into the right to receive cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company PSU, based on the greater of the target and actual performance. Amounts are shown here based on actual performance.

F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

Performance Stock UnitsSEC Table II · derivative / convertible securityDirect0 Reported balance After 2023-12-14 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2023-12-14 · Disposition to issuer · Disposed 6,608 · Balance 0

F6: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit (each, a "Company PSU"), other than any Company Products PSU or any Company August 2023 PSU (each, as defined below), was cancelled and converted into the right to receive cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company PSU, based on the greater of the target and actual performance. Amounts are shown here based on actual performance.

F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

Performance Stock UnitsSEC Table II · derivative / convertible securityDirect0 Reported balance After 2023-12-14 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2023-12-14 · Disposition to issuer · Disposed 3,965 · Balance 0

F6: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit (each, a "Company PSU"), other than any Company Products PSU or any Company August 2023 PSU (each, as defined below), was cancelled and converted into the right to receive cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company PSU, based on the greater of the target and actual performance. Amounts are shown here based on actual performance.

F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

Performance Stock UnitsSEC Table II · derivative / convertible securityDirect0 Reported balance After 2023-12-14 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2023-12-14 · Disposition to issuer · Disposed 5,286 · Balance 0

F7: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit granted in August 2023 (each, a "Company August 2023 PSU") that was unvested as of immediately prior to the Effective Time, was cancelled and converted into the right to receive a Parent cash-based award with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company August 2023 PSU, based on target performance.

F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

Performance Stock UnitsSEC Table II · derivative / convertible securityDirect0 Reported balance After 2023-12-14 transaction · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 11 · 2023-12-14 · Disposition to issuer · Disposed 13,217 · Balance 0

F7: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit granted in August 2023 (each, a "Company August 2023 PSU") that was unvested as of immediately prior to the Effective Time, was cancelled and converted into the right to receive a Parent cash-based award with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company August 2023 PSU, based on target performance.

F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

Performance Stock UnitsSEC Table II · derivative / convertible securityDirect0 Reported balance After 2023-12-14 transaction · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 12 · 2023-12-14 · Disposition to issuer · Disposed 7,930 · Balance 0

F7: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit granted in August 2023 (each, a "Company August 2023 PSU") that was unvested as of immediately prior to the Effective Time, was cancelled and converted into the right to receive a Parent cash-based award with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company August 2023 PSU, based on target performance.

F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

Filing footnotes · ownership attribution and instrument terms

F1: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

F2: Pursuant to the Merger Agreement, at the Effective Time, each issued and outstanding share of Common Stock (other than certain excluded shares described in the Merger Agreement) was cancelled and converted automatically into the right to receive cash in an amount equal to $229.00 per share of Common Stock (the "Merger Consideration").

F3: Pursuant to the Merger Agreement, each outstanding option, whether or not then vested, was cancelled in exchange for the right to receive an amount in cash equal to the product of (i) the excess, if any, of the Merger Consideration over the per-share exercise price of such option, multiplied by (ii) the number of shares of Common Stock then subject to such option.

F4: Pursuant to the Merger Agreement, at the Effective Time, each outstanding restricted stock unit (each, a "Company RSU"), other than any Post-Signing Company RSU (as defined below), was cancelled and converted into the right to receive an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company RSU.

F5: Pursuant to the Merger Agreement, at the Effective Time, each outstanding Company RSU granted after March 12, 2023 that was unvested as of immediately prior to the Effective Time (each, a "Post-Signing Company RSU") was cancelled and converted into the right to receive a Parent cash-based award subject to service-based vesting requirements with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Post-Signing Company RSU.

F6: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit (each, a "Company PSU"), other than any Company Products PSU or any Company August 2023 PSU (each, as defined below), was cancelled and converted into the right to receive cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company PSU, based on the greater of the target and actual performance. Amounts are shown here based on actual performance.

F7: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit granted in August 2023 (each, a "Company August 2023 PSU") that was unvested as of immediately prior to the Effective Time, was cancelled and converted into the right to receive a Parent cash-based award with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company August 2023 PSU, based on target performance.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

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Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
October 08, 2026 Filed Oct 9, 2026 12:01 UTC AgomAb Therapeutics NV AGMB · Entity 5259 PurchaseCommon shares 5,000 $8.90 $44,500.00
Disclosure

SEC source: 0001445826-26-000014 · primary_doc.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

F1 · security: The common shares may be represented by American Depositary Shares, each of which currently represents one common share.

Read SEC document
October 06, 2026 Filed Oct 7, 2026 12:57 UTC AgomAb Therapeutics NV AGMB · Entity 5259 PurchaseCommon shares 5,000 $8.70 $43,500.00
Disclosure

SEC source: 0001445826-26-000013 · primary_doc.xml · nonDerivative · entry 2

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

F1 · security: The common shares may be represented by American Depositary Shares, each of which currently represents one common share.

Read SEC document
October 05, 2026 Filed Oct 7, 2026 12:57 UTC AgomAb Therapeutics NV AGMB · Entity 5259 PurchaseCommon shares 5,000 $8.57 $42,850.00
Disclosure

SEC source: 0001445826-26-000013 · primary_doc.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

F1 · security: The common shares may be represented by American Depositary Shares, each of which currently represents one common share.

Read SEC document
September 01, 2026 Filed Sep 3, 2026 20:05 UTC Tempus AI, Inc. TEM · Entity 1545 SaleClass A Common Stock 250 $65.55 $16,387.50
Disclosure

SEC source: 0001445826-26-000012 · form4-09032026_040901.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 30,844

F1 · kind: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 27, 2024.

Read SEC document
August 03, 2026 Filed Aug 5, 2026 20:30 UTC Tempus AI, Inc. TEM · Entity 1545 SaleClass A Common Stock 370 $43.40 $16,058.00
Disclosure

SEC source: 0001445826-26-000010 · form4-08052026_040807.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 31,094

F1 · kind: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 27, 2024.

Read SEC document
June 01, 2026 Filed Jun 3, 2026 20:28 UTC Tempus AI, Inc. TEM · Entity 1545 SaleClass A Common Stock 250 $49.40 $12,350.00
Disclosure

SEC source: 0001445826-26-000008 · form4-06032026_080645.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 31,464

F1 · kind: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 27, 2024.

Read SEC document
May 21, 2026 Filed May 27, 2026 01:45 UTC Tempus AI, Inc. TEM · Entity 1545 GrantClass A Comnmon Stock 5,913 $0.00 $0.00
Disclosure

SEC source: 0001445826-26-000006 · form4-05262026_090506.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,714

F1 · shares: Represents a restricted stock unit ("RSU") award. The RSUs will vest in full on the earlier of (i) the date of the Issuer's 2027 annual meeting of the stockholders (or the date immediately prior to such annual meeting if the Reporting Person's service as a director ends at such annual meeting) or (ii) on May 21, 2027, each subject to the Reporting Person's continuous service with the Issuer as of the applicable vesting date.

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March 02, 2026 Filed Mar 4, 2026 21:30 UTC Tempus AI, Inc. TEM · Entity 1545 SaleClass A Common Stock 250 $50.69 $12,672.50
Disclosure

SEC source: 0001445826-26-000004 · form4-03042026_040324.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 25,801

F1 · kind: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 27, 2024.

Read SEC document
February 02, 2026 Filed Feb 4, 2026 21:30 UTC Tempus AI, Inc. TEM · Entity 1545 SaleClass A Common Stock 370 $59.41 $21,981.70
Disclosure

SEC source: 0001445826-26-000002 · form4-02042026_040201.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 26,051

F1 · kind: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 27, 2024.

Read SEC document
December 01, 2025 Filed Dec 3, 2025 21:50 UTC Tempus AI, Inc. TEM · Entity 1545 SaleClass A Comnmon Stock 250 $75.55 $18,887.50
Disclosure

SEC source: 0001445826-25-000006 · form4-12032025_041205.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 26,421

F1 · kind: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 27, 2024.

Read SEC document
November 03, 2025 Filed Nov 5, 2025 21:15 UTC Tempus AI, Inc. TEM · Entity 1545 SaleClass A Common Stock 370 $90.00 $33,300.00
Disclosure

SEC source: 0001445826-25-000004 · form4-11052025_041101.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 26,671

F1 · kind: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 27, 2024.

Read SEC document
September 02, 2025 Filed Sep 4, 2025 20:15 UTC Tempus AI, Inc. TEM · Entity 1545 SaleClass A Comnmon Stock 250 $73.64 $18,410.00
Disclosure

SEC source: 0001415889-25-023653 · form4-09042025_040901.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 27,041

F1 · kind: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 27, 2024.

Read SEC document
August 01, 2025 Filed Aug 5, 2025 20:15 UTC Tempus AI, Inc. TEM · Entity 1545 SaleClass A Comnmon Stock 370 $55.16 $20,409.20
Disclosure

SEC source: 0001415889-25-021029 · form4-08052025_040803.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 27,291

F1 · kind: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 27, 2024.

Read SEC document
June 02, 2025 Filed Jun 4, 2025 20:15 UTC Tempus AI, Inc. TEM · Entity 1545 SaleClass A Comnmon Stock 250 $55.20 $13,800.00
Disclosure

SEC source: 0001415889-25-015575 · form4-06042025_040612.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 27,661

F1 · kind: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 27, 2024.

Read SEC document
May 20, 2025 Filed May 23, 2025 00:00 UTC Tempus AI, Inc. TEM · Entity 1545 GrantClass A Comnmon Stock 1,997 $0.00 $0.00
Disclosure

SEC source: 0001415889-25-014307 · form4-05222025_080519.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,911

F1 · shares: Represents a restricted stock unit ("RSU") award. The RSUs will vest in full on the earlier of (i) the date of the Issuer's 2026 annual meeting of the stockholders (or the date immediately prior to such annual meeting if the Reporting Person's service as a director ends at such annual meeting) or (ii) on May 20, 2026, each subject to the Reporting Person's continuous service with the Issuer as of the applicable vesting date.

Read SEC document
May 01, 2025 Filed May 5, 2025 20:15 UTC Tempus AI, Inc. TEM · Entity 1545 SaleClass A Common Stock 370 $53.50 $19,795.00
Disclosure

SEC source: 0001415889-25-011951 · form4-05052025_040519.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 25,914

F1 · kind: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 27, 2024.

Read SEC document
March 17, 2025 Filed Mar 19, 2025 22:30 UTC Tempus AI, Inc. TEM · Entity 1545 SaleClass A Common Stock 990 $46.83 $46,361.70
Disclosure

SEC source: 0001415889-25-008656 · form4-03192025_060310.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 26,284

F1 · kind: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 27, 2024.

Read SEC document
March 03, 2025 Filed Mar 5, 2025 21:15 UTC Tempus AI, Inc. TEM · Entity 1545 SaleClass A Common Stock 250 $57.52 $14,380.00
Disclosure

SEC source: 0001415889-25-006936 · form4-03052025_040306.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 27,274

F1 · kind: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 27, 2024.

Read SEC document
February 03, 2025 Filed Feb 5, 2025 23:06 UTC Tempus AI, Inc. TEM · Entity 1545 SaleClass A Common Stock 370 $53.31 $19,724.70
Disclosure

SEC source: 0001415889-25-003151 · form4-02052025_110240.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 27,524

F1 · kind: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 27, 2024.

Read SEC document
December 11, 2024 Filed Dec 13, 2024 23:20 UTC Tempus AI, Inc. TEM · Entity 1545 SaleClass A Common Stock 620 $41.81 $25,922.20
Disclosure

SEC source: 0001415889-24-029368 · form4-12132024_061212.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 27,894

F1 · kind: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 27, 2024.

Read SEC document
June 13, 2024 Filed Jun 18, 2024 01:45 UTC Tempus AI, Inc. TEM · Entity 1545 GrantClass A Common Stock 28,514 $0.00 $0.00
Disclosure

SEC source: 0001415889-24-017306 · form4-06172024_090612.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,514

F1 · shares: Consists of previously granted restricted stock units ("RSUs") for which the liquidity event-based condition was satisfied upon the effectiveness of the registration statement on Form S-1 filed by the Issuer in connection with the Issuer's initial public offering, as well as, a grant of RSUs made in connection with the Issuer's Non-Employee Director Compensation Policy. Certain of the RSUs remain subject to service-based vesting conditions, as follows: (i) 14,000 RSUs vest in 14 equal quarterly installments commencing on August 5, 2024 and (ii) 13,514 RSUs vest in 20 substantially equal quarterly installments commencing on September 13, 2024.

Read SEC document
December 14, 2023 Filed Dec 15, 2023 18:29 UTC Seagen Inc. SGEN · Entity 13956 Disposition to issuerPerformance Stock Units · Derivative 7,930 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-23-070873 · ownership.xml · derivative · entry 12

Epstein David R · CIK 0001445826 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 7,930 shares

Expires not disclosed

F7 · derivative.exercise_price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit granted in August 2023 (each, a "Company August 2023 PSU") that was unvested as of immediately prior to the Effective Time, was cancelled and converted into the right to receive a Parent cash-based award with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company August 2023 PSU, based on target performance.

F1 · kind: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

F7 · price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit granted in August 2023 (each, a "Company August 2023 PSU") that was unvested as of immediately prior to the Effective Time, was cancelled and converted into the right to receive a Parent cash-based award with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company August 2023 PSU, based on target performance.

F7 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit granted in August 2023 (each, a "Company August 2023 PSU") that was unvested as of immediately prior to the Effective Time, was cancelled and converted into the right to receive a Parent cash-based award with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company August 2023 PSU, based on target performance.

F7 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit granted in August 2023 (each, a "Company August 2023 PSU") that was unvested as of immediately prior to the Effective Time, was cancelled and converted into the right to receive a Parent cash-based award with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company August 2023 PSU, based on target performance.

Read SEC document
December 14, 2023 Filed Dec 15, 2023 18:29 UTC Seagen Inc. SGEN · Entity 13956 Disposition to issuerPerformance Stock Units · Derivative 13,217 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-23-070873 · ownership.xml · derivative · entry 11

Epstein David R · CIK 0001445826 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 13,217 shares

Expires not disclosed

F7 · derivative.exercise_price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit granted in August 2023 (each, a "Company August 2023 PSU") that was unvested as of immediately prior to the Effective Time, was cancelled and converted into the right to receive a Parent cash-based award with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company August 2023 PSU, based on target performance.

F1 · kind: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

F7 · price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit granted in August 2023 (each, a "Company August 2023 PSU") that was unvested as of immediately prior to the Effective Time, was cancelled and converted into the right to receive a Parent cash-based award with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company August 2023 PSU, based on target performance.

F7 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit granted in August 2023 (each, a "Company August 2023 PSU") that was unvested as of immediately prior to the Effective Time, was cancelled and converted into the right to receive a Parent cash-based award with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company August 2023 PSU, based on target performance.

F7 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit granted in August 2023 (each, a "Company August 2023 PSU") that was unvested as of immediately prior to the Effective Time, was cancelled and converted into the right to receive a Parent cash-based award with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company August 2023 PSU, based on target performance.

Read SEC document
December 14, 2023 Filed Dec 15, 2023 18:29 UTC Seagen Inc. SGEN · Entity 13956 Disposition to issuerPerformance Stock Units · Derivative 5,286 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-23-070873 · ownership.xml · derivative · entry 10

Epstein David R · CIK 0001445826 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 5,286 shares

Expires not disclosed

F7 · derivative.exercise_price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit granted in August 2023 (each, a "Company August 2023 PSU") that was unvested as of immediately prior to the Effective Time, was cancelled and converted into the right to receive a Parent cash-based award with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company August 2023 PSU, based on target performance.

F1 · kind: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

F7 · price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit granted in August 2023 (each, a "Company August 2023 PSU") that was unvested as of immediately prior to the Effective Time, was cancelled and converted into the right to receive a Parent cash-based award with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company August 2023 PSU, based on target performance.

F7 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit granted in August 2023 (each, a "Company August 2023 PSU") that was unvested as of immediately prior to the Effective Time, was cancelled and converted into the right to receive a Parent cash-based award with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company August 2023 PSU, based on target performance.

F7 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit granted in August 2023 (each, a "Company August 2023 PSU") that was unvested as of immediately prior to the Effective Time, was cancelled and converted into the right to receive a Parent cash-based award with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company August 2023 PSU, based on target performance.

Read SEC document
December 14, 2023 Filed Dec 15, 2023 18:29 UTC Seagen Inc. SGEN · Entity 13956 Disposition to issuerPerformance Stock Units · Derivative 3,965 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-23-070873 · ownership.xml · derivative · entry 9

Epstein David R · CIK 0001445826 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 3,965 shares

Expires not disclosed

F6 · derivative.exercise_price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit (each, a "Company PSU"), other than any Company Products PSU or any Company August 2023 PSU (each, as defined below), was cancelled and converted into the right to receive cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company PSU, based on the greater of the target and actual performance. Amounts are shown here based on actual performance.

F1 · kind: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

F6 · price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit (each, a "Company PSU"), other than any Company Products PSU or any Company August 2023 PSU (each, as defined below), was cancelled and converted into the right to receive cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company PSU, based on the greater of the target and actual performance. Amounts are shown here based on actual performance.

F6 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit (each, a "Company PSU"), other than any Company Products PSU or any Company August 2023 PSU (each, as defined below), was cancelled and converted into the right to receive cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company PSU, based on the greater of the target and actual performance. Amounts are shown here based on actual performance.

F6 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit (each, a "Company PSU"), other than any Company Products PSU or any Company August 2023 PSU (each, as defined below), was cancelled and converted into the right to receive cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company PSU, based on the greater of the target and actual performance. Amounts are shown here based on actual performance.

Read SEC document
December 14, 2023 Filed Dec 15, 2023 18:29 UTC Seagen Inc. SGEN · Entity 13956 Disposition to issuerPerformance Stock Units · Derivative 6,608 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-23-070873 · ownership.xml · derivative · entry 8

Epstein David R · CIK 0001445826 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 6,608 shares

Expires not disclosed

F6 · derivative.exercise_price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit (each, a "Company PSU"), other than any Company Products PSU or any Company August 2023 PSU (each, as defined below), was cancelled and converted into the right to receive cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company PSU, based on the greater of the target and actual performance. Amounts are shown here based on actual performance.

F1 · kind: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

F6 · price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit (each, a "Company PSU"), other than any Company Products PSU or any Company August 2023 PSU (each, as defined below), was cancelled and converted into the right to receive cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company PSU, based on the greater of the target and actual performance. Amounts are shown here based on actual performance.

F6 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit (each, a "Company PSU"), other than any Company Products PSU or any Company August 2023 PSU (each, as defined below), was cancelled and converted into the right to receive cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company PSU, based on the greater of the target and actual performance. Amounts are shown here based on actual performance.

F6 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit (each, a "Company PSU"), other than any Company Products PSU or any Company August 2023 PSU (each, as defined below), was cancelled and converted into the right to receive cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company PSU, based on the greater of the target and actual performance. Amounts are shown here based on actual performance.

Read SEC document
December 14, 2023 Filed Dec 15, 2023 18:29 UTC Seagen Inc. SGEN · Entity 13956 Disposition to issuerPerformance Stock Units · Derivative 2,644 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-23-070873 · ownership.xml · derivative · entry 7

Epstein David R · CIK 0001445826 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 2,644 shares

Expires not disclosed

F6 · derivative.exercise_price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit (each, a "Company PSU"), other than any Company Products PSU or any Company August 2023 PSU (each, as defined below), was cancelled and converted into the right to receive cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company PSU, based on the greater of the target and actual performance. Amounts are shown here based on actual performance.

F1 · kind: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

F6 · price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit (each, a "Company PSU"), other than any Company Products PSU or any Company August 2023 PSU (each, as defined below), was cancelled and converted into the right to receive cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company PSU, based on the greater of the target and actual performance. Amounts are shown here based on actual performance.

F6 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit (each, a "Company PSU"), other than any Company Products PSU or any Company August 2023 PSU (each, as defined below), was cancelled and converted into the right to receive cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company PSU, based on the greater of the target and actual performance. Amounts are shown here based on actual performance.

F6 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding performance-based restricted stock unit (each, a "Company PSU"), other than any Company Products PSU or any Company August 2023 PSU (each, as defined below), was cancelled and converted into the right to receive cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company PSU, based on the greater of the target and actual performance. Amounts are shown here based on actual performance.

Read SEC document
December 14, 2023 Filed Dec 15, 2023 18:29 UTC Seagen Inc. SGEN · Entity 13956 Disposition to issuerRestricted Stock Units · Derivative 39,650 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-23-070873 · ownership.xml · derivative · entry 6

Epstein David R · CIK 0001445826 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 39,650 shares

Expires not disclosed

F5 · derivative.exercise_price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding Company RSU granted after March 12, 2023 that was unvested as of immediately prior to the Effective Time (each, a "Post-Signing Company RSU") was cancelled and converted into the right to receive a Parent cash-based award subject to service-based vesting requirements with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Post-Signing Company RSU.

F1 · kind: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

F5 · price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding Company RSU granted after March 12, 2023 that was unvested as of immediately prior to the Effective Time (each, a "Post-Signing Company RSU") was cancelled and converted into the right to receive a Parent cash-based award subject to service-based vesting requirements with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Post-Signing Company RSU.

F5 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding Company RSU granted after March 12, 2023 that was unvested as of immediately prior to the Effective Time (each, a "Post-Signing Company RSU") was cancelled and converted into the right to receive a Parent cash-based award subject to service-based vesting requirements with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Post-Signing Company RSU.

F5 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding Company RSU granted after March 12, 2023 that was unvested as of immediately prior to the Effective Time (each, a "Post-Signing Company RSU") was cancelled and converted into the right to receive a Parent cash-based award subject to service-based vesting requirements with respect to an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Post-Signing Company RSU.

Read SEC document
December 14, 2023 Filed Dec 15, 2023 18:29 UTC Seagen Inc. SGEN · Entity 13956 Disposition to issuerRestricted Stock Units · Derivative 80,541 Not disclosed Not disclosed
Disclosure

SEC source: 0000950170-23-070873 · ownership.xml · derivative · entry 5

Epstein David R · CIK 0001445826 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 80,541 shares

Expires not disclosed

F4 · derivative.exercise_price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding restricted stock unit (each, a "Company RSU"), other than any Post-Signing Company RSU (as defined below), was cancelled and converted into the right to receive an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company RSU.

F1 · kind: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

F4 · price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding restricted stock unit (each, a "Company RSU"), other than any Post-Signing Company RSU (as defined below), was cancelled and converted into the right to receive an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company RSU.

F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding restricted stock unit (each, a "Company RSU"), other than any Post-Signing Company RSU (as defined below), was cancelled and converted into the right to receive an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company RSU.

F4 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each outstanding restricted stock unit (each, a "Company RSU"), other than any Post-Signing Company RSU (as defined below), was cancelled and converted into the right to receive an amount in cash equal to the product of (i) the Merger Consideration, multiplied by (ii) the number of shares of Common Stock then subject to such Company RSU.

Read SEC document
December 14, 2023 Filed Dec 15, 2023 18:29 UTC Seagen Inc. SGEN · Entity 13956 Disposition to issuerStock Options (Right to Buy) · Derivative 224,000 Not disclosed Strike: $137.96 Not disclosed
Disclosure

SEC source: 0000950170-23-070873 · ownership.xml · derivative · entry 4

Epstein David R · CIK 0001445826 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 224,000 shares

Expires 2032-11-09

F1 · kind: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

F3 · price: Pursuant to the Merger Agreement, each outstanding option, whether or not then vested, was cancelled in exchange for the right to receive an amount in cash equal to the product of (i) the excess, if any, of the Merger Consideration over the per-share exercise price of such option, multiplied by (ii) the number of shares of Common Stock then subject to such option.

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, each outstanding option, whether or not then vested, was cancelled in exchange for the right to receive an amount in cash equal to the product of (i) the excess, if any, of the Merger Consideration over the per-share exercise price of such option, multiplied by (ii) the number of shares of Common Stock then subject to such option.

Read SEC document
December 14, 2023 Filed Dec 15, 2023 18:29 UTC Seagen Inc. SGEN · Entity 13956 Disposition to issuerStock Options (Right to Buy) · Derivative 240,451 Not disclosed Strike: $137.96 Not disclosed
Disclosure

SEC source: 0000950170-23-070873 · ownership.xml · derivative · entry 3

Epstein David R · CIK 0001445826 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 240,451 shares

Expires 2032-11-09

F1 · kind: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

F3 · price: Pursuant to the Merger Agreement, each outstanding option, whether or not then vested, was cancelled in exchange for the right to receive an amount in cash equal to the product of (i) the excess, if any, of the Merger Consideration over the per-share exercise price of such option, multiplied by (ii) the number of shares of Common Stock then subject to such option.

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, each outstanding option, whether or not then vested, was cancelled in exchange for the right to receive an amount in cash equal to the product of (i) the excess, if any, of the Merger Consideration over the per-share exercise price of such option, multiplied by (ii) the number of shares of Common Stock then subject to such option.

Read SEC document
December 14, 2023 Filed Dec 15, 2023 18:29 UTC Seagen Inc. SGEN · Entity 13956 Disposition to issuerStock Options (Right to Buy) · Derivative 2,896 Not disclosed Strike: $137.96 Not disclosed
Disclosure

SEC source: 0000950170-23-070873 · ownership.xml · derivative · entry 2

Epstein David R · CIK 0001445826 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 2,896 shares

Expires 2032-11-09

F1 · kind: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

F3 · price: Pursuant to the Merger Agreement, each outstanding option, whether or not then vested, was cancelled in exchange for the right to receive an amount in cash equal to the product of (i) the excess, if any, of the Merger Consideration over the per-share exercise price of such option, multiplied by (ii) the number of shares of Common Stock then subject to such option.

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, each outstanding option, whether or not then vested, was cancelled in exchange for the right to receive an amount in cash equal to the product of (i) the excess, if any, of the Merger Consideration over the per-share exercise price of such option, multiplied by (ii) the number of shares of Common Stock then subject to such option.

Read SEC document
December 14, 2023 Filed Dec 15, 2023 18:29 UTC Seagen Inc. SGEN · Entity 13956 Disposition to issuerCommon Stock 16,407 $229.00 $3,757,203.00
Disclosure

SEC source: 0000950170-23-070873 · ownership.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

F1 · shares: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

F1 · price: Reflects the disposition of shares of common stock, par value $0.001 per share ("Common Stock"), of Seagen Inc. ("Issuer"), or of equity awards in respect of such Common Stock, as applicable, in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of March 12, 2023 (the "Merger Agreement"), by and among the Issuer, Pfizer Inc. ("Parent") and Aris Merger Sub, Inc. ("Merger Sub"), a wholly owned subsidiary of Parent, pursuant to which, at 12:01 a.m. EST on December 14, 2023, the effective time of the Merger (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer surviving as a subsidiary of Parent (the "Merger").

F2 · price: Pursuant to the Merger Agreement, at the Effective Time, each issued and outstanding share of Common Stock (other than certain excluded shares described in the Merger Agreement) was cancelled and converted automatically into the right to receive cash in an amount equal to $229.00 per share of Common Stock (the "Merger Consideration").

Read SEC document
November 10, 2023 Filed Nov 13, 2023 20:02 UTC Seagen Inc. SGEN · Entity 13956 SaleCommon Stock 10,620 $213.01 $2,262,166.20
Disclosure

SEC source: 0001203311-23-000123 · edgardoc.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 136,598

F1 · kind: The sales reported on this Form 4 were effected pursuant to a written agreement governing the terms of restricted stock units granted to the reporting person, which includes a plan intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) to satisfy tax obligations arising out of the vesting of such stock units (the "Sell-to-Cover Trading Arrangement"). The written agreement, adopted December 14, 2022, provides that, if the filer is in possession of material, nonpublic information as of the date of grant of such stock units, then the Sell-to-Cover Trading Arrangement becomes a binding contract as of the first date thereafter on which the filer is not in possession of material, nonpublic information.

F2 · balance_after: Amount of securities beneficially owned following reported transactions includes restricted stock units subject to vesting.

Read SEC document
August 15, 2023 Filed Aug 17, 2023 21:14 UTC Seagen Inc. SGEN · Entity 13956 GrantCommon Stock 39,650 $0.00 $0.00
Disclosure

SEC source: 0001203311-23-000085 · edgardoc.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 147,218

F1 · security: These shares represent restricted stock units and will be settled in common stock upon vesting. 50% of the reporting person's annual equity award was granted in the form of performance stock units, which are not reflected here, and will be treated the same as these restricted stock units in the event the transaction with Pfizer closes.

F2 · date: Shares shall vest at a rate of 25% on each anniversary of August 15, 2023 until all shares are fully vested at the end of four years.

F3 · balance_after: Amount of securities beneficially owned following reported transactions includes restricted stock units subject to vesting and 179 shares acquired under the Amended and Restated 2000 Employee Stock Purchase Plan on July 31, 2023.

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November 09, 2022 Filed Nov 14, 2022 17:45 UTC Seagen Inc. SGEN · Entity 13956 GrantNon-Qualified Stock Option (Right to Buy) · Derivative 400,000 $0.00 Strike: $137.96 $0.00
Disclosure

SEC source: 0000899243-22-035727 · doc4.xml · derivative · entry 4

Epstein David R · CIK 0001445826 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2032-11-09

F4 · derivative.exercise_date: Options are subject to performance vesting in tranches tied to price targets for shares of the Issuer's common stock generally achievable on specified timelines on or before December 31, 2028 or an earlier change of control of the Issuer. Each such tranche will time-vest 1/3 on the date of performance vesting, 1/3 on the 9 month anniversary of performance vesting and 1/3 on the 18 month anniversary of performance vesting.

Read SEC document
November 09, 2022 Filed Nov 14, 2022 17:45 UTC Seagen Inc. SGEN · Entity 13956 GrantNon-Qualified Stock Option (Right to Buy) · Derivative 240,451 $0.00 Strike: $137.96 $0.00
Disclosure

SEC source: 0000899243-22-035727 · doc4.xml · derivative · entry 3

Epstein David R · CIK 0001445826 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,451

Underlying: Common Stock · 240,451 shares

Expires 2032-11-09

F3 · derivative.exercise_date: Options shall vest at a rate of 25% one year from grant date and monthly thereafter until all options are fully vested four years from grant date.

Read SEC document
November 09, 2022 Filed Nov 14, 2022 17:45 UTC Seagen Inc. SGEN · Entity 13956 GrantIncentive Stock Option (Right to Buy) · Derivative 2,896 $0.00 Strike: $137.96 $0.00
Disclosure

SEC source: 0000899243-22-035727 · doc4.xml · derivative · entry 2

Epstein David R · CIK 0001445826 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,896

Underlying: Common Stock · 2,896 shares

Expires 2032-11-09

F3 · derivative.exercise_date: Options shall vest at a rate of 25% one year from grant date and monthly thereafter until all options are fully vested four years from grant date.

Read SEC document
November 09, 2022 Filed Nov 14, 2022 17:45 UTC Seagen Inc. SGEN · Entity 13956 GrantCommon Stock 107,389 $0.00 $0.00
Disclosure

SEC source: 0000899243-22-035727 · doc4.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,389

F1 · security: These shares represent restricted stock units and will be settled in common stock upon vesting.

F2 · shares: Shares shall vest at a rate of 25% on each anniversary of November 9, 2022, until all shares are fully vested at the end of four years.

Read SEC document
July 13, 2022 Filed Jul 15, 2022 22:00 UTC Senti Biosciences Holdings, Inc. SNTI · Entity 7935 GrantStock Option (Right to Buy) · Derivative 125,000 $0.00 Strike: $1.75 $0.00
Disclosure

SEC source: 0000899243-22-026138 · doc4.xml · derivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2032-07-12

F1 · derivative.exercise_date: The shares underlying this option vest in 36 substantially equal monthly installments over three years from July 13, 2022, subject to the reporting person's continued service through the applicable vesting date. The vested shares subject to such option shall be exercisable upon the effectiveness of the Issuer's registration statement on Form S-8, registering the shares of the Issuer's 2022 Equity Incentive Plan with the U.S. Securities and Exchange Commission.

Read SEC document
June 30, 2022 Filed Jun 30, 2022 16:52 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionRestricted Stock Units · Derivative 2,874 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000110 · wf-form4_165662235504996.xml · derivative · entry 4

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,874 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The Restricted Stock Units vest in 12 substantially equal monthly installments following the June 30, 2021 grant date, subject to the reporting person's continued service as a consultant to the issuer on such vesting dates.

F3 · derivative.expiration_date: The Restricted Stock Units vest in 12 substantially equal monthly installments following the June 30, 2021 grant date, subject to the reporting person's continued service as a consultant to the issuer on such vesting dates.

Read SEC document
June 30, 2022 Filed Jun 30, 2022 16:52 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionRestricted Stock Units · Derivative 2,053 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000110 · wf-form4_165662235504996.xml · derivative · entry 3

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,053 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The Restricted Stock Units vest in 12 substantially equal monthly installments following the June 30, 2021 grant date, subject to the reporting person's continued service as chair of the board of directors of the issuer on such vesting dates.

F2 · derivative.expiration_date: The Restricted Stock Units vest in 12 substantially equal monthly installments following the June 30, 2021 grant date, subject to the reporting person's continued service as chair of the board of directors of the issuer on such vesting dates.

Read SEC document
June 30, 2022 Filed Jun 30, 2022 16:52 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionCommon Stock 2,874 $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000110 · wf-form4_165662235504996.xml · nonDerivative · entry 2

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,932

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Settlement of shares of Common Stock acquired upon the vesting of Restricted Stock Units previously granted to the reporting person.

F1 · acquired: Settlement of shares of Common Stock acquired upon the vesting of Restricted Stock Units previously granted to the reporting person.

Read SEC document
June 30, 2022 Filed Jun 30, 2022 16:52 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionCommon Stock 2,053 $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000110 · wf-form4_165662235504996.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,058

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Settlement of shares of Common Stock acquired upon the vesting of Restricted Stock Units previously granted to the reporting person.

F1 · acquired: Settlement of shares of Common Stock acquired upon the vesting of Restricted Stock Units previously granted to the reporting person.

Read SEC document
June 10, 2022 Filed Jun 13, 2022 16:41 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 GrantStock Option (Right to Buy) · Derivative 20,000 $0.00 Strike: $2.02 $0.00
Disclosure

SEC source: 0001694665-22-000100 · wf-form4_165515287263045.xml · derivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-06-10

F1 · derivative.exercise_date: The option vests on the earlier of June 10, 2023 and the day immediately prior to the date of the next annual meeting of the Issuer's stockholders occurring after the date of grant.

Read SEC document
June 08, 2022 Filed Jun 11, 2022 01:22 UTC Senti Biosciences Holdings, Inc. SNTI · Entity 7935 Exercise / conversionClass B Common Stock · Derivative 112,519 Not disclosed Not disclosed
Disclosure

SEC source: 0000950103-22-010425 · dp175101_4-epstein.xml · derivative · entry 2

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Class A Common Stock · 112,519 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share that Dynamics Sponsor LLC, a Delaware limited liability company (the "Sponsor"), held as record holder of Class B common stock, par value $0.0001, automatically converted into one share of Class A common stock, par value $0.0001, at the closing of the Issuer's initial business combination on June 8, 2022, and, pursuant to the Issuer's amended certificate of incorporation which came into effect on such date, shares of Class A common stock became shares of common stock (without class designation), par value $0.0001, of the Issuer at such time. The shares of Class B common stock had no expiration date.

F1 · kind: Each share that Dynamics Sponsor LLC, a Delaware limited liability company (the "Sponsor"), held as record holder of Class B common stock, par value $0.0001, automatically converted into one share of Class A common stock, par value $0.0001, at the closing of the Issuer's initial business combination on June 8, 2022, and, pursuant to the Issuer's amended certificate of incorporation which came into effect on such date, shares of Class A common stock became shares of common stock (without class designation), par value $0.0001, of the Issuer at such time. The shares of Class B common stock had no expiration date.

F1 · price: Each share that Dynamics Sponsor LLC, a Delaware limited liability company (the "Sponsor"), held as record holder of Class B common stock, par value $0.0001, automatically converted into one share of Class A common stock, par value $0.0001, at the closing of the Issuer's initial business combination on June 8, 2022, and, pursuant to the Issuer's amended certificate of incorporation which came into effect on such date, shares of Class A common stock became shares of common stock (without class designation), par value $0.0001, of the Issuer at such time. The shares of Class B common stock had no expiration date.

F1 · derivative.exercise_date: Each share that Dynamics Sponsor LLC, a Delaware limited liability company (the "Sponsor"), held as record holder of Class B common stock, par value $0.0001, automatically converted into one share of Class A common stock, par value $0.0001, at the closing of the Issuer's initial business combination on June 8, 2022, and, pursuant to the Issuer's amended certificate of incorporation which came into effect on such date, shares of Class A common stock became shares of common stock (without class designation), par value $0.0001, of the Issuer at such time. The shares of Class B common stock had no expiration date.

F1 · derivative.expiration_date: Each share that Dynamics Sponsor LLC, a Delaware limited liability company (the "Sponsor"), held as record holder of Class B common stock, par value $0.0001, automatically converted into one share of Class A common stock, par value $0.0001, at the closing of the Issuer's initial business combination on June 8, 2022, and, pursuant to the Issuer's amended certificate of incorporation which came into effect on such date, shares of Class A common stock became shares of common stock (without class designation), par value $0.0001, of the Issuer at such time. The shares of Class B common stock had no expiration date.

F1 · derivative.underlying: Each share that Dynamics Sponsor LLC, a Delaware limited liability company (the "Sponsor"), held as record holder of Class B common stock, par value $0.0001, automatically converted into one share of Class A common stock, par value $0.0001, at the closing of the Issuer's initial business combination on June 8, 2022, and, pursuant to the Issuer's amended certificate of incorporation which came into effect on such date, shares of Class A common stock became shares of common stock (without class designation), par value $0.0001, of the Issuer at such time. The shares of Class B common stock had no expiration date.

F1 · ownership.nature: Each share that Dynamics Sponsor LLC, a Delaware limited liability company (the "Sponsor"), held as record holder of Class B common stock, par value $0.0001, automatically converted into one share of Class A common stock, par value $0.0001, at the closing of the Issuer's initial business combination on June 8, 2022, and, pursuant to the Issuer's amended certificate of incorporation which came into effect on such date, shares of Class A common stock became shares of common stock (without class designation), par value $0.0001, of the Issuer at such time. The shares of Class B common stock had no expiration date.

F2 · ownership.nature: Upon the consummation of the business combination described in footnote 1, the Sponsor distributed 123,252 shares of common stock of the Issuer to David Epstein.

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June 08, 2022 Filed Jun 11, 2022 01:22 UTC Senti Biosciences Holdings, Inc. SNTI · Entity 7935 GrantCommon Stock 112,519 $0.00 $0.00
Disclosure

SEC source: 0000950103-22-010425 · dp175101_4-epstein.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,252

F3 · shares: Prior to the distribution described in footnote 2, the Sponsor was the record holder of these shares. The Sponsor is governed by a board of managers consisting of Omid Farokhzad and Mostafa Ronaghi who held an economic interest therein. Any action by the Sponsor with respect to Issuer or the shares reported above, including voting and dispositive decisions, requires unanimous approval of the managers. The shares reported were attributable to Mr. Epstein's equity ownership interest of the Sponsor.

F1 · price: Each share that Dynamics Sponsor LLC, a Delaware limited liability company (the "Sponsor"), held as record holder of Class B common stock, par value $0.0001, automatically converted into one share of Class A common stock, par value $0.0001, at the closing of the Issuer's initial business combination on June 8, 2022, and, pursuant to the Issuer's amended certificate of incorporation which came into effect on such date, shares of Class A common stock became shares of common stock (without class designation), par value $0.0001, of the Issuer at such time. The shares of Class B common stock had no expiration date.

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May 31, 2022 Filed Jun 1, 2022 16:12 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionRestricted Stock Units · Derivative 2,873 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000091 · wf-form4_165411435361955.xml · derivative · entry 4

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,874

Underlying: Common Stock · 2,873 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The Restricted Stock Units vest in 12 substantially equal monthly installments following the June 30, 2021 grant date, subject to the reporting person's continued service as a consultant to the issuer on such vesting dates.

F3 · derivative.expiration_date: The Restricted Stock Units vest in 12 substantially equal monthly installments following the June 30, 2021 grant date, subject to the reporting person's continued service as a consultant to the issuer on such vesting dates.

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May 31, 2022 Filed Jun 1, 2022 16:12 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionRestricted Stock Units · Derivative 2,052 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000091 · wf-form4_165411435361955.xml · derivative · entry 3

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,053

Underlying: Common Stock · 2,052 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The Restricted Stock Units vest in 12 substantially equal monthly installments following the June 30, 2021 grant date, subject to the reporting person's continued service as chair of the board of directors of the issuer on such vesting dates.

F2 · derivative.expiration_date: The Restricted Stock Units vest in 12 substantially equal monthly installments following the June 30, 2021 grant date, subject to the reporting person's continued service as chair of the board of directors of the issuer on such vesting dates.

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May 31, 2022 Filed Jun 1, 2022 16:12 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionCommon Stock 2,873 $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000091 · wf-form4_165411435361955.xml · nonDerivative · entry 2

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,005

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Settlement of shares of Common Stock acquired upon the vesting of Restricted Stock Units previously granted to the reporting person.

F1 · acquired: Settlement of shares of Common Stock acquired upon the vesting of Restricted Stock Units previously granted to the reporting person.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.