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

SEC source: 0001694665-22-000091 · wf-form4_165411435361955.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,132

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
May 27, 2022 Filed May 31, 2022 16:07 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 PurchaseCommon Stock 17,123 $1.46 $24,999.58
Disclosure

SEC source: 0001694665-22-000083 · wf-form4_165402761150511.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,080

Read SEC document
May 19, 2022 Filed Jun 3, 2022 20:30 UTC Axcella Health Inc. AXLA · Entity 116059 GrantCommon Stock 47,059 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-068109 · tm2217610-2_4seq1.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 209,756

F1 · shares: 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.

Read SEC document
May 12, 2022 Filed May 13, 2022 16:20 UTC Rubius Therapeutics, Inc. RUBY · Entity 116417 GrantStock Option (Right to Buy) · Derivative 499,762 $0.00 Strike: $1.24 $0.00
Disclosure

SEC source: 0001179110-22-002998 · edgar.xml · derivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 499,762

Underlying: Common Stock · 499,762 shares

Expires 2032-05-11

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

Read SEC document
May 02, 2022 Filed May 2, 2022 16:03 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionRestricted Stock Units · Derivative 2,873 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000073 · wf-form4_165152180271431.xml · derivative · entry 4

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,747

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.

Read SEC document
May 02, 2022 Filed May 2, 2022 16:03 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionRestricted Stock Units · Derivative 2,053 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000073 · wf-form4_165152180271431.xml · derivative · entry 3

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,105

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
May 02, 2022 Filed May 2, 2022 16:03 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionCommon Stock 2,873 $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000073 · wf-form4_165152180271431.xml · nonDerivative · entry 2

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,957

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
May 02, 2022 Filed May 2, 2022 16:03 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionCommon Stock 2,053 $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000073 · wf-form4_165152180271431.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,084

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
April 21, 2022 Filed Apr 22, 2022 18:07 UTC Rubius Therapeutics, Inc. RUBY · Entity 116417 PurchaseCommon Stock 30,000 $1.44 $43,329.00
Disclosure

SEC source: 0001179110-22-002716 · edgar.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,720,012

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.36 to $1.50, inclusive. The reporting person undertakes to provide to Rubius Therapeutics, Inc., any security holder of Rubius Therapeutics, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

Read SEC document
March 31, 2022 Filed Apr 1, 2022 16:05 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionRestricted Stock Units · Derivative 2,874 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000049 · wf-form4_164884350436088.xml · derivative · entry 4

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,620

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
March 31, 2022 Filed Apr 1, 2022 16:05 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionRestricted Stock Units · Derivative 2,052 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000049 · wf-form4_164884350436088.xml · derivative · entry 3

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,158

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.

Read SEC document
March 31, 2022 Filed Apr 1, 2022 16:05 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionCommon Stock 2,874 $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000049 · wf-form4_164884350436088.xml · nonDerivative · entry 2

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,031

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
March 31, 2022 Filed Apr 1, 2022 16:05 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionCommon Stock 2,052 $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000049 · wf-form4_164884350436088.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,157

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
March 18, 2022 Filed Mar 21, 2022 20:30 UTC Axcella Health Inc. AXLA · Entity 116059 Exercise / conversionRestricted Stock Units · Derivative 1,535 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-036134 · tm229468-6_4seq1.xml · derivative · entry 3

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,535 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 restricted stock unit ("RSU") represents a contingent right to receive one share of AXLA common stock.

F3 · derivative.exercise_date: The RSUs are fully vested as of the date hereof.

F3 · derivative.expiration_date: The RSUs are fully vested as of the date hereof.

Read SEC document
March 18, 2022 Filed Mar 21, 2022 20:30 UTC Axcella Health Inc. AXLA · Entity 116059 Exercise / conversionCommon Stock 1,535 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-22-036134 · tm229468-6_4seq1.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,697

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of AXLA common stock.

Read SEC document
March 17, 2022 Filed Mar 21, 2022 20:30 UTC Axcella Health Inc. AXLA · Entity 116059 GrantStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $2.51 $0.00
Disclosure

SEC source: 0001104659-22-036134 · tm229468-6_4seq1.xml · derivative · entry 2

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2032-03-16

F2 · derivative.exercise_date: The shares underlying this option shall vest and become exercisable in full upon the earlier of (i) May 19, 2023 and (ii) the date of the 2023 Annual Meeting of Stockholders, subject to the Reporting Person's continued service at such time.

Read SEC document
March 16, 2022 Filed Mar 18, 2022 12:30 UTC Axcella Health Inc. AXLA · Entity 116059 PurchaseCommon Stock 26,178 $1.91 $49,999.98
Disclosure

SEC source: 0001104659-22-035343 · tm229468-2_4seq1.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,162

F1 · shares: Represents the common stock of Axcella Health Inc. acquired by the reporting person in a registered direct offering on March 16, 2022, at a price of $1.91 per share.

Read SEC document
February 28, 2022 Filed Mar 1, 2022 16:07 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionRestricted Stock Units · Derivative 2,873 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000038 · wf-form4_164616882870990.xml · derivative · entry 4

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,494

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.

Read SEC document
February 28, 2022 Filed Mar 1, 2022 16:07 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionRestricted Stock Units · Derivative 2,053 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000038 · wf-form4_164616882870990.xml · derivative · entry 3

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,210

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
February 28, 2022 Filed Mar 1, 2022 16:07 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionCommon Stock 2,873 $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000038 · wf-form4_164616882870990.xml · nonDerivative · entry 2

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,105

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
February 28, 2022 Filed Mar 1, 2022 16:07 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionCommon Stock 2,053 $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000038 · wf-form4_164616882870990.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,232

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
February 18, 2022 Filed Feb 23, 2022 21:19 UTC Axcella Health Inc. AXLA · Entity 116059 Exercise / conversionRestricted Stock Units · Derivative 1,534 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-026106 · tm227475-1_4seq1.xml · derivative · entry 2

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,535

Underlying: Common Stock · 1,534 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 restricted stock unit ("RSU") represents a contingent right to receive one share of AXLA common stock.

F2 · derivative.exercise_date: The RSUs shall vest in 12 equal monthly installments, with the first installment vested on April 18, 2021.

F2 · derivative.expiration_date: The RSUs shall vest in 12 equal monthly installments, with the first installment vested on April 18, 2021.

Read SEC document
February 18, 2022 Filed Feb 23, 2022 21:19 UTC Axcella Health Inc. AXLA · Entity 116059 Exercise / conversionCommon Stock 1,534 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-22-026106 · tm227475-1_4seq1.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,984

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of AXLA common stock.

Read SEC document
January 31, 2022 Filed Jan 31, 2022 17:06 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionRestricted Stock Units · Derivative 2,873 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000027 · wf-form4_164366678792571.xml · derivative · entry 4

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,367

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.

Read SEC document
January 31, 2022 Filed Jan 31, 2022 17:06 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionRestricted Stock Units · Derivative 2,052 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000027 · wf-form4_164366678792571.xml · derivative · entry 3

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,263

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.

Read SEC document
January 31, 2022 Filed Jan 31, 2022 17:06 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionCommon Stock 2,873 $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000027 · wf-form4_164366678792571.xml · nonDerivative · entry 2

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,179

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
January 31, 2022 Filed Jan 31, 2022 17:06 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionCommon Stock 2,052 $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000027 · wf-form4_164366678792571.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,306

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
January 18, 2022 Filed Jan 20, 2022 21:30 UTC Axcella Health Inc. AXLA · Entity 116059 Exercise / conversionRestricted Stock Units · Derivative 1,535 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-005947 · tm223928-1_4seq1.xml · derivative · entry 2

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,069

Underlying: Common Stock · 1,535 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 restricted stock unit ("RSU") represents a contingent right to receive one share of AXLA common stock.

F2 · derivative.exercise_date: The RSUs shall vest in 12 equal monthly installments, with the first installment vested on April 18, 2021.

F2 · derivative.expiration_date: The RSUs shall vest in 12 equal monthly installments, with the first installment vested on April 18, 2021.

Read SEC document
January 18, 2022 Filed Jan 20, 2022 21:30 UTC Axcella Health Inc. AXLA · Entity 116059 Exercise / conversionCommon Stock 1,535 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-22-005947 · tm223928-1_4seq1.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,450

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of AXLA common stock.

Read SEC document
December 31, 2021 Filed Jan 3, 2022 16:23 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionRestricted Stock Units · Derivative 2,874 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000002 · wf-form4_164124499187524.xml · derivative · entry 4

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,240

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
December 31, 2021 Filed Jan 3, 2022 16:23 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionRestricted Stock Units · Derivative 2,052 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000002 · wf-form4_164124499187524.xml · derivative · entry 3

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,315

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.

Read SEC document
December 31, 2021 Filed Jan 3, 2022 16:23 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionCommon Stock 2,874 $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000002 · wf-form4_164124499187524.xml · nonDerivative · entry 2

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,254

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
December 31, 2021 Filed Jan 3, 2022 16:23 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionCommon Stock 2,052 $0.00 $0.00
Disclosure

SEC source: 0001694665-22-000002 · wf-form4_164124499187524.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,380

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
December 17, 2021 Filed Dec 20, 2021 21:15 UTC Axcella Health Inc. AXLA · Entity 116059 Exercise / conversionRestricted Stock Units · Derivative 1,535 $0.00 $0.00
Disclosure

SEC source: 0001104659-21-151698 · tm2135916-1_4seq1.xml · derivative · entry 2

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,604

Underlying: Common Stock · 1,535 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 restricted stock unit ("RSU") represents a contingent right to receive one share of AXLA common stock.

F2 · derivative.exercise_date: The RSUs shall vest in 12 equal monthly installments, with the first installment vested on April 18, 2021.

F2 · derivative.expiration_date: The RSUs shall vest in 12 equal monthly installments, with the first installment vested on April 18, 2021.

Read SEC document
December 17, 2021 Filed Dec 20, 2021 21:15 UTC Axcella Health Inc. AXLA · Entity 116059 Exercise / conversionCommon Stock 1,535 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-21-151698 · tm2135916-1_4seq1.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,915

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of AXLA common stock.

Read SEC document
November 30, 2021 Filed Dec 1, 2021 16:39 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionRestricted Stock Units · Derivative 2,873 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001694665-21-000152 · wf-form4_163839473705119.xml · derivative · entry 4

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,114

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.

Read SEC document
November 30, 2021 Filed Dec 1, 2021 16:39 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionRestricted Stock Units · Derivative 2,053 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001694665-21-000152 · wf-form4_163839473705119.xml · derivative · entry 3

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,367

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
November 30, 2021 Filed Dec 1, 2021 16:39 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionCommon Stock 2,873 $0.00 $0.00
Disclosure

SEC source: 0001694665-21-000152 · wf-form4_163839473705119.xml · nonDerivative · entry 2

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,328

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
November 30, 2021 Filed Dec 1, 2021 16:39 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionCommon Stock 2,053 $0.00 $0.00
Disclosure

SEC source: 0001694665-21-000152 · wf-form4_163839473705119.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,455

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
November 18, 2021 Filed Nov 22, 2021 23:04 UTC Axcella Health Inc. AXLA · Entity 116059 Exercise / conversionRestricted Stock Units · Derivative 1,534 $0.00 $0.00
Disclosure

SEC source: 0001104659-21-142660 · tm2133722d1_4seq1.xml · derivative · entry 2

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,139

Underlying: Common Stock · 1,534 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 restricted stock unit ("RSU") represents a contingent right to receive one share of AXLA common stock.

F2 · derivative.exercise_date: The RSUs shall vest in 12 equal monthly installments, with the first installment vested on April 18, 2021.

F2 · derivative.expiration_date: The RSUs shall vest in 12 equal monthly installments, with the first installment vested on April 18, 2021.

Read SEC document
November 18, 2021 Filed Nov 22, 2021 23:04 UTC Axcella Health Inc. AXLA · Entity 116059 Exercise / conversionCommon Stock 1,534 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-21-142660 · tm2133722d1_4seq1.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,380

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of AXLA common stock.

Read SEC document
November 01, 2021 Filed Nov 1, 2021 17:22 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionRestricted Stock Units · Derivative 2,873 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001694665-21-000150 · wf-form4_163580175124646.xml · derivative · entry 4

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,987

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.

Read SEC document
November 01, 2021 Filed Nov 1, 2021 17:22 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionRestricted Stock Units · Derivative 2,052 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001694665-21-000150 · wf-form4_163580175124646.xml · derivative · entry 3

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,420

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.

Read SEC document
November 01, 2021 Filed Nov 1, 2021 17:22 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionCommon Stock 2,873 $0.00 $0.00
Disclosure

SEC source: 0001694665-21-000150 · wf-form4_163580175124646.xml · nonDerivative · entry 2

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,402

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
November 01, 2021 Filed Nov 1, 2021 17:22 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionCommon Stock 2,052 $0.00 $0.00
Disclosure

SEC source: 0001694665-21-000150 · wf-form4_163580175124646.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,529

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
October 18, 2021 Filed Oct 19, 2021 20:31 UTC Axcella Health Inc. AXLA · Entity 116059 Exercise / conversionRestricted Stock Units · Derivative 1,535 $0.00 $0.00
Disclosure

SEC source: 0001104659-21-127599 · tm2130408-1_4seq1.xml · derivative · entry 2

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,673

Underlying: Common Stock · 1,535 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 restricted stock unit ("RSU") represents a contingent right to receive one share of AXLA common stock.

F2 · derivative.exercise_date: The RSUs shall vest in 12 equal monthly installments, with the first installment vested on April 18, 2021.

F2 · derivative.expiration_date: The RSUs shall vest in 12 equal monthly installments, with the first installment vested on April 18, 2021.

Read SEC document
October 18, 2021 Filed Oct 19, 2021 20:31 UTC Axcella Health Inc. AXLA · Entity 116059 Exercise / conversionCommon Stock 1,535 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-21-127599 · tm2130408-1_4seq1.xml · nonDerivative · entry 1

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,846

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of AXLA common stock.

Read SEC document
October 01, 2021 Filed Oct 1, 2021 16:42 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionRestricted Stock Units · Derivative 2,874 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001694665-21-000134 · wf-form4_163312090860233.xml · derivative · entry 4

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,860

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
October 01, 2021 Filed Oct 1, 2021 16:42 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionRestricted Stock Units · Derivative 2,053 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001694665-21-000134 · wf-form4_163312090860233.xml · derivative · entry 3

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,472

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
October 01, 2021 Filed Oct 1, 2021 16:42 UTC Evelo Biosciences, Inc. EVLO · Entity 108468 Exercise / conversionCommon Stock 2,874 $0.00 $0.00
Disclosure

SEC source: 0001694665-21-000134 · wf-form4_163312090860233.xml · nonDerivative · entry 2

Epstein David R · CIK 0001445826 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,477

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

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