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person · Reporting owner

Lewis-Hall Freda C

Disclosed activity across 7 companies

Tapewire entity
16005
SEC CIK
0001437909

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
CDT Equity Inc.CDT · Entity 1035DirectorAugust 05, 2025August 26, 2025
EXACT SCIENCES CORPEXAS · Entity 56619DirectorJune 08, 2023June 12, 2023
PFIZER INCPFE · Entity 2863Executive Vice PresidentFebruary 27, 2019March 02, 2019
Pyxis Oncology, Inc.PYXS · Entity 5986DirectorMarch 24, 2026March 25, 2026
VERTEX PHARMACEUTICALS INC / MAVRTX · Entity 2875EVP, Medicines DevelopmentMarch 19, 2009March 20, 2009

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.

CDT Equity Inc.

Report date August 05, 2025 · Filed August 26, 2025

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect38,466 Reported balance After 2025-08-12 transaction · row 1
1 source row

Row 1 · 2025-08-12 · Grant · Acquired 35,000 · Balance 38,466

F1: Represents restricted stock units ("RSUs") received on August 12, 2025, in exchange for past services, having a value equal to approximately $60,900 based on the closing price per share of the Issuer's common stock on August 12, 2025. The RSUs vest immediately upon grant.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.89 · Expires 2035-08-05Direct15,000 Reported balance After 2025-08-05 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2025-08-05 · Grant · Acquired 15,000 · Balance 15,000

F4: Represents options to purchase common stock, granted under the Issuer's 2023 Stock Incentive Plan, which were granted at the conclusion of the Issuer's 2025 annual meeting of stockholders.

F5: The options vest immediately upon grant.

Common StockSEC Table I · non-derivativeIndirectSee Footnote1,335 Reported balance Holding disclosure · report date 2025-08-05 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 1,335

F2: The shares are held of record by Intelmed LLC ("Intelmed"). Ms. Lewis-Hall is the Managing Director of Intelmed and in such capacity has voting and investment discretion with respect to the shares held of record by Intelmed. By virtue of this relationship, Ms. Lewis-Hall may be deemed to share beneficial ownership of the shares held of record by Intelmed. Ms. Lewis-Hall disclaims any such beneficial ownership except to the extent of her pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectSee Footnote344 Reported balance Holding disclosure · report date 2025-08-05 · row 3 Holding and transaction disclosures are not merged.
1 source row

Row 3 · Balance 344

F3: The shares are held by Ms. Lewis-Hall's spouse, Mr. Emerson Hall, Jr. As Mr. Hall's spouse and by virtue of their relationship, Ms. Lewis-Hall may be deemed to share beneficial ownership of such shares held by record by Mr. Emerson Hall, Jr. Ms. Lewis-Hall disclaims any such beneficial ownership except to the extent of her pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Represents restricted stock units ("RSUs") received on August 12, 2025, in exchange for past services, having a value equal to approximately $60,900 based on the closing price per share of the Issuer's common stock on August 12, 2025. The RSUs vest immediately upon grant.

F2: The shares are held of record by Intelmed LLC ("Intelmed"). Ms. Lewis-Hall is the Managing Director of Intelmed and in such capacity has voting and investment discretion with respect to the shares held of record by Intelmed. By virtue of this relationship, Ms. Lewis-Hall may be deemed to share beneficial ownership of the shares held of record by Intelmed. Ms. Lewis-Hall disclaims any such beneficial ownership except to the extent of her pecuniary interest therein.

F3: The shares are held by Ms. Lewis-Hall's spouse, Mr. Emerson Hall, Jr. As Mr. Hall's spouse and by virtue of their relationship, Ms. Lewis-Hall may be deemed to share beneficial ownership of such shares held by record by Mr. Emerson Hall, Jr. Ms. Lewis-Hall disclaims any such beneficial ownership except to the extent of her pecuniary interest therein.

F4: Represents options to purchase common stock, granted under the Issuer's 2023 Stock Incentive Plan, which were granted at the conclusion of the Issuer's 2025 annual meeting of stockholders.

F5: The options vest immediately upon grant.

EXACT SCIENCES CORP

Report date June 08, 2023 · Filed June 12, 2023

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect19,688 Reported balance After 2023-06-08 transaction · row 1
1 source row

Row 1 · 2023-06-08 · Grant · Acquired 3,599 · Balance 19,688

F1: These shares of restricted stock were issued pursuant to the Company's non-employee director compensation policy.

Filing footnotes · ownership attribution and instrument terms

F1: These shares of restricted stock were issued pursuant to the Company's non-employee director compensation policy.

PFIZER INC

Report date February 27, 2019 · Filed March 02, 2019

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect375,244 Ending reported balance After 2019-02-27 transaction · row 5
5 source rows · reconciled sequence

Row 1 · 2019-02-27 · Exercise / conversion · Acquired 81,475 · Balance 416,278

F1: The reported transaction constitutes the earn-out of stock appreciation rights (including dividend equivalents thereon).

Row 2 · 2019-02-27 · Grant · Acquired 48,092 · Balance 464,370

F2: The reported transaction constitutes the earn-out of Performance Share Awards (including dividend equivalents thereon).

Row 3 · 2019-02-27 · Tax withholding · Disposed 15,258 · Balance 449,112

F3: The reported transaction constitutes the withholding of shares to satisfy tax obligations in connection with earn-out of stock appreciation rights.

Row 4 · 2019-02-27 · Tax withholding · Disposed 23,551 · Balance 425,561

F4: The reported transaction constitutes the withholding of shares to satisfy tax obligations upon the earn-out of Performance Share Awards (including dividend equivalents thereon).

Row 5 · 2019-02-27 · Tax withholding · Disposed 50,317 · Balance 375,244

F5: The reported transaction constitutes the withholding of shares to cover payment of exercise price in connection with earn-out of stock appreciation rights (including dividend equivalents thereon).

F6: Under the terms of the settlement of the stock appreciation rights the 20-day average of the closing prices of Pfizer common stock ending on the settlement date is used.

Stock Appreciation RightsSEC Table II · derivative / convertible security · Conversion / exercise price $32.23 · Expires 2019-02-27Direct0 Reported balance After 2019-02-27 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2019-02-27 · Exercise / conversion · Disposed 81,475 · Balance 0

Stock Appreciation RightsSEC Table II · derivative / convertible security · Conversion / exercise price $43.35 · Expires 2024-02-28Direct54,151 Reported balance After 2019-02-28 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2019-02-28 · Grant · Acquired 54,151 · Balance 54,151

F7: The stock appreciation rights, which are subject to certain vesting requirements, will be settled in shares of Pfizer common stock on the fifth anniversary of the date of grant.

Stock Appreciation RightsSEC Table II · derivative / convertible security · Conversion / exercise price $43.35 · Expires 2026-02-28Direct45,634 Reported balance After 2019-02-28 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2019-02-28 · Grant · Acquired 45,634 · Balance 45,634

F8: The stock appreciation rights, which are subject to certain vesting requirements, will be settled in shares of Pfizer common stock on the seventh anniversary of the date of grant.

Common StockSEC Table I · non-derivativeIndirectBy Rule 16b-3 Plan4,320 Reported balance Holding disclosure · report date 2019-02-27 · row 6 Holding and transaction disclosures are not merged.
1 source row

Row 6 · Balance 4,320

Filing footnotes · ownership attribution and instrument terms

F1: The reported transaction constitutes the earn-out of stock appreciation rights (including dividend equivalents thereon).

F2: The reported transaction constitutes the earn-out of Performance Share Awards (including dividend equivalents thereon).

F3: The reported transaction constitutes the withholding of shares to satisfy tax obligations in connection with earn-out of stock appreciation rights.

F4: The reported transaction constitutes the withholding of shares to satisfy tax obligations upon the earn-out of Performance Share Awards (including dividend equivalents thereon).

F5: The reported transaction constitutes the withholding of shares to cover payment of exercise price in connection with earn-out of stock appreciation rights (including dividend equivalents thereon).

F6: Under the terms of the settlement of the stock appreciation rights the 20-day average of the closing prices of Pfizer common stock ending on the settlement date is used.

F7: The stock appreciation rights, which are subject to certain vesting requirements, will be settled in shares of Pfizer common stock on the fifth anniversary of the date of grant.

F8: The stock appreciation rights, which are subject to certain vesting requirements, will be settled in shares of Pfizer common stock on the seventh anniversary of the date of grant.

Pyxis Oncology, Inc.

Report date March 24, 2026 · Filed March 25, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.36 · Expires 2036-03-24Direct45,867 Reported balance After 2026-03-24 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2026-03-24 · Grant · Acquired 45,867 · Balance 45,867

F1: The shares subject to this option will vest 100% on the first anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: The shares subject to this option will vest 100% on the first anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date.

VERTEX PHARMACEUTICALS INC / MA

Report date March 19, 2009 · Filed March 20, 2009

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect53,334 Reported balance After 2009-03-19 transaction · row 1
1 source row

Row 1 · 2009-03-19 · Sale · Disposed 1,250 · Balance 53,334

F1: Transaction made pursuant to Dr. Lewis-Hall's company approved trading plan established under Rule 10b5-1.

F2: Open market sales reported on this line occurred at a weighted average price of $29.11 (range $28.85 to $29.78).

F3: Dr. Lewis-Hall undertakes to provide (upon request by the SEC staff, the issuer or a security holder of the issuer) full information regarding the number of shares sold at each separate price.

Filing footnotes · ownership attribution and instrument terms

F1: Transaction made pursuant to Dr. Lewis-Hall's company approved trading plan established under Rule 10b5-1.

F2: Open market sales reported on this line occurred at a weighted average price of $29.11 (range $28.85 to $29.78).

F3: Dr. Lewis-Hall undertakes to provide (upon request by the SEC staff, the issuer or a security holder of the issuer) full information regarding the number of shares sold at each separate price.

Past disclosures · reporting ended (2)

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

1Life Healthcare Inc

Report date February 22, 2023 · Filed February 24, 2023

Section 16 reporting ended · disclosed 2023-02-24. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2023-02-22 transaction · row 1
1 source row

Row 1 · 2023-02-22 · Disposition to issuer · Disposed 4,534 · Balance 0

F1: Reflects disposition of Issuer common stock with the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of July 20, 2022, by and among Issuer, Amazon.com, Inc. ("Parent") and Negroni Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger (the "Merger") between Issuer and Merger Sub on February 22, 2023. Pursuant to the Merger Agreement, as of the effective time of the Merger (the "Effective Time"), each share of Issuer common stock, par value $0.001 per share ("Shares") issued and outstanding immediately prior to the Effective Time was converted automatically into the right to receive $18.00 in cash, without interest (the "Merger Consideration").

Stock Options (Right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.56 · Expires 2029-11-20Direct0 Reported balance After 2023-02-22 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2023-02-22 · Disposition to issuer · Disposed 10,381 · Balance 0

F2: Pursuant to the Merger Agreement, at the Effective Time, each outstanding option ("Option") to purchase Shares granted under any of the Issuer's 2007 Equity Incentive Plan, 2017 Equity Incentive Plan, 2020 Equity Incentive Plan and the Iora Third Amended and Restated 2011 Equity Incentive Plan (collective, the "Issuer Stock Plans") or portion thereof that was vested or became vested as of the Effective Time, and had an exercise price per Share that is less than the Merger Consideration, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the amount by which the Merger Consideration exceeds the applicable exercise price per Share of such Option and (ii) the aggregate number of Shares issuable upon exercise of such Option or portion thereof, subject to any required withholding of taxes.

F3: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the first anniversary of the vesting commencement date; and 1/48th of the shares subject to the option vest monthly thereafter over the following three years, subject to reporting person's continuous service as of each such date. At the Effective Time, any unvested shares subject to the option was accelerated in full.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $29.00 · Expires 2030-05-13Direct0 Reported balance After 2023-02-22 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2023-02-22 · Disposition to issuer · Disposed 5,294 · Balance 0

F4: Pursuant to the Merger Agreement, at the Effective Time, each Option, whether vested or unvested, that has an exercise price per Share that is greater than the Merger Consideration was canceled without the payment of consideration.

F5: The shares subject to the option are fully vested and immediately exercisable.

Restricted Stock UnitsSEC Table II · derivative / convertible securityDirect0 Reported balance After 2023-02-22 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2023-02-22 · Disposition to issuer · Disposed 20,728 · Balance 0

F6: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the issuer's common stock. RSUs convert into the issuer's common stock on a one-for-one basis.

F7: The RSUs vest on the earlier of (i) the date of the issuer's next annual meeting of stockholders (or the date immediately prior to the next annual meeting of stockholders if the reporting person's service as a director ends at such meeting due to the director's failure to be re-elected or the director not standing for re-election); or (ii) the one-year anniversary measured from the date of grant. At the Effective Time, each outstanding RSU that was unvested was accelerated in full and was automatically converted in to the right to receive the Merger Consideration.

Filing footnotes · ownership attribution and instrument terms

F1: Reflects disposition of Issuer common stock with the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of July 20, 2022, by and among Issuer, Amazon.com, Inc. ("Parent") and Negroni Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger (the "Merger") between Issuer and Merger Sub on February 22, 2023. Pursuant to the Merger Agreement, as of the effective time of the Merger (the "Effective Time"), each share of Issuer common stock, par value $0.001 per share ("Shares") issued and outstanding immediately prior to the Effective Time was converted automatically into the right to receive $18.00 in cash, without interest (the "Merger Consideration").

F2: Pursuant to the Merger Agreement, at the Effective Time, each outstanding option ("Option") to purchase Shares granted under any of the Issuer's 2007 Equity Incentive Plan, 2017 Equity Incentive Plan, 2020 Equity Incentive Plan and the Iora Third Amended and Restated 2011 Equity Incentive Plan (collective, the "Issuer Stock Plans") or portion thereof that was vested or became vested as of the Effective Time, and had an exercise price per Share that is less than the Merger Consideration, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the amount by which the Merger Consideration exceeds the applicable exercise price per Share of such Option and (ii) the aggregate number of Shares issuable upon exercise of such Option or portion thereof, subject to any required withholding of taxes.

F3: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the first anniversary of the vesting commencement date; and 1/48th of the shares subject to the option vest monthly thereafter over the following three years, subject to reporting person's continuous service as of each such date. At the Effective Time, any unvested shares subject to the option was accelerated in full.

F4: Pursuant to the Merger Agreement, at the Effective Time, each Option, whether vested or unvested, that has an exercise price per Share that is greater than the Merger Consideration was canceled without the payment of consideration.

F5: The shares subject to the option are fully vested and immediately exercisable.

F6: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the issuer's common stock. RSUs convert into the issuer's common stock on a one-for-one basis.

F7: The RSUs vest on the earlier of (i) the date of the issuer's next annual meeting of stockholders (or the date immediately prior to the next annual meeting of stockholders if the reporting person's service as a director ends at such meeting due to the director's failure to be re-elected or the director not standing for re-election); or (ii) the one-year anniversary measured from the date of grant. At the Effective Time, each outstanding RSU that was unvested was accelerated in full and was automatically converted in to the right to receive the Merger Consideration.

SpringWorks Therapeutics, Inc.

Report date July 01, 2025 · Filed July 02, 2025

Section 16 reporting ended · disclosed 2025-07-02. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2025-07-01 transaction · row 1
1 source row

Row 1 · 2025-07-01 · Disposition to issuer · Disposed 24,727 · Balance 0

F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated April 27, 2025 (the "Merger Agreement"), by and among the Issuer, Merck KGaA, Darmstadt, Germany, a German corporation with general partners ("Parent"), and EMD Holdings Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of July 1, 2025, with the Issuer surviving the Merger as a wholly owned subsidiary of Parent (the "Merger").

F2: Includes 10,060 shares underlying restricted stock units (each, an "RSU") granted under the Issuer's 2019 Stock Option and Equity Incentive Plan (the "Plan"). Each RSU represents a contingent right to receive one share of Issuer common stock.

F3: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer common stock was cancelled and automatically converted into the right to receive $47.00 in cash, without interest and subject to any required tax withholding (the "Merger Consideration").

F4: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding RSU, whether vested or unvested, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the Merger Consideration payable with respect to such RSU multiplied by (ii) the total number of shares of Issuer common stock subject to such RSU immediately prior to the Effective Time (each a "Parent Cash-Based RSU Award"). Each Parent Cash-Based RSU Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such RSU immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based RSU Award will vest, subject to the applicable holder's continued employment with Parent through such date.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $18.00Direct0 Reported balance After 2025-07-01 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2025-07-01 · Disposition to issuer · Disposed 29,983 · Balance 0

F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated April 27, 2025 (the "Merger Agreement"), by and among the Issuer, Merck KGaA, Darmstadt, Germany, a German corporation with general partners ("Parent"), and EMD Holdings Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of July 1, 2025, with the Issuer surviving the Merger as a wholly owned subsidiary of Parent (the "Merger").

F5: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $38.03Direct0 Reported balance After 2025-07-01 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2025-07-01 · Disposition to issuer · Disposed 7,464 · Balance 0

F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated April 27, 2025 (the "Merger Agreement"), by and among the Issuer, Merck KGaA, Darmstadt, Germany, a German corporation with general partners ("Parent"), and EMD Holdings Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of July 1, 2025, with the Issuer surviving the Merger as a wholly owned subsidiary of Parent (the "Merger").

F5: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $35.42Direct0 Reported balance After 2025-07-01 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2025-07-01 · Disposition to issuer · Disposed 15,318 · Balance 0

F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated April 27, 2025 (the "Merger Agreement"), by and among the Issuer, Merck KGaA, Darmstadt, Germany, a German corporation with general partners ("Parent"), and EMD Holdings Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of July 1, 2025, with the Issuer surviving the Merger as a wholly owned subsidiary of Parent (the "Merger").

F5: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $32.27Direct0 Reported balance After 2025-07-01 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2025-07-01 · Disposition to issuer · Disposed 13,774 · Balance 0

F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated April 27, 2025 (the "Merger Agreement"), by and among the Issuer, Merck KGaA, Darmstadt, Germany, a German corporation with general partners ("Parent"), and EMD Holdings Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of July 1, 2025, with the Issuer surviving the Merger as a wholly owned subsidiary of Parent (the "Merger").

F5: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $44.77Direct0 Reported balance After 2025-07-01 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2025-07-01 · Disposition to issuer · Disposed 12,216 · Balance 0

F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated April 27, 2025 (the "Merger Agreement"), by and among the Issuer, Merck KGaA, Darmstadt, Germany, a German corporation with general partners ("Parent"), and EMD Holdings Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of July 1, 2025, with the Issuer surviving the Merger as a wholly owned subsidiary of Parent (the "Merger").

F5: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated April 27, 2025 (the "Merger Agreement"), by and among the Issuer, Merck KGaA, Darmstadt, Germany, a German corporation with general partners ("Parent"), and EMD Holdings Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of July 1, 2025, with the Issuer surviving the Merger as a wholly owned subsidiary of Parent (the "Merger").

F2: Includes 10,060 shares underlying restricted stock units (each, an "RSU") granted under the Issuer's 2019 Stock Option and Equity Incentive Plan (the "Plan"). Each RSU represents a contingent right to receive one share of Issuer common stock.

F3: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer common stock was cancelled and automatically converted into the right to receive $47.00 in cash, without interest and subject to any required tax withholding (the "Merger Consideration").

F4: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding RSU, whether vested or unvested, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the Merger Consideration payable with respect to such RSU multiplied by (ii) the total number of shares of Issuer common stock subject to such RSU immediately prior to the Effective Time (each a "Parent Cash-Based RSU Award"). Each Parent Cash-Based RSU Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such RSU immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based RSU Award will vest, subject to the applicable holder's continued employment with Parent through such date.

F5: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

Transaction history

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Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
March 24, 2026 Filed Mar 25, 2026 17:08 UTC Pyxis Oncology, Inc. PYXS · Entity 5986 GrantStock Option (Right to Buy) · Derivative 45,867 $0.00 Strike: $1.36 $0.00
Disclosure

SEC source: 0001193125-26-124333 · ownership.xml · derivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,867

Underlying: Common Stock · 45,867 shares

Expires 2036-03-24

F1 · derivative.exercise_date: The shares subject to this option will vest 100% on the first anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date.

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August 12, 2025 Filed Aug 26, 2025 20:30 UTC CDT Equity Inc. CDT · Entity 1035 GrantCommon Stock 35,000 $0.00 $0.00
Disclosure

SEC source: 0001641172-25-025539 · ownership.xml · nonDerivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,466

F1 · shares: Represents restricted stock units ("RSUs") received on August 12, 2025, in exchange for past services, having a value equal to approximately $60,900 based on the closing price per share of the Issuer's common stock on August 12, 2025. The RSUs vest immediately upon grant.

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August 05, 2025 Filed Aug 26, 2025 20:30 UTC CDT Equity Inc. CDT · Entity 1035 GrantStock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $1.89 $0.00
Disclosure

SEC source: 0001641172-25-025539 · ownership.xml · derivative · entry 4

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2035-08-05

F4 · security: Represents options to purchase common stock, granted under the Issuer's 2023 Stock Incentive Plan, which were granted at the conclusion of the Issuer's 2025 annual meeting of stockholders.

F5 · derivative.exercise_date: The options vest immediately upon grant.

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July 01, 2025 Filed Jul 2, 2025 16:25 UTC SpringWorks Therapeutics, Inc. SWTX · Entity 15910 Disposition to issuerStock Option (Right to Buy) · Derivative 12,216 Not disclosed Strike: $44.77 Not disclosed
Disclosure

SEC source: 0001104659-25-065318 · tm2519678-13_4seq1.xml · derivative · entry 6

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,216 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated April 27, 2025 (the "Merger Agreement"), by and among the Issuer, Merck KGaA, Darmstadt, Germany, a German corporation with general partners ("Parent"), and EMD Holdings Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of July 1, 2025, with the Issuer surviving the Merger as a wholly owned subsidiary of Parent (the "Merger").

F5 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6 · price: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6 · derivative.exercise_date: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

F5 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6 · derivative.expiration_date: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

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July 01, 2025 Filed Jul 2, 2025 16:25 UTC SpringWorks Therapeutics, Inc. SWTX · Entity 15910 Disposition to issuerStock Option (Right to Buy) · Derivative 13,774 Not disclosed Strike: $32.27 Not disclosed
Disclosure

SEC source: 0001104659-25-065318 · tm2519678-13_4seq1.xml · derivative · entry 5

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,774 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated April 27, 2025 (the "Merger Agreement"), by and among the Issuer, Merck KGaA, Darmstadt, Germany, a German corporation with general partners ("Parent"), and EMD Holdings Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of July 1, 2025, with the Issuer surviving the Merger as a wholly owned subsidiary of Parent (the "Merger").

F5 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6 · price: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6 · derivative.exercise_date: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

F5 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6 · derivative.expiration_date: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

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July 01, 2025 Filed Jul 2, 2025 16:25 UTC SpringWorks Therapeutics, Inc. SWTX · Entity 15910 Disposition to issuerStock Option (Right to Buy) · Derivative 15,318 Not disclosed Strike: $35.42 Not disclosed
Disclosure

SEC source: 0001104659-25-065318 · tm2519678-13_4seq1.xml · derivative · entry 4

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,318 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated April 27, 2025 (the "Merger Agreement"), by and among the Issuer, Merck KGaA, Darmstadt, Germany, a German corporation with general partners ("Parent"), and EMD Holdings Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of July 1, 2025, with the Issuer surviving the Merger as a wholly owned subsidiary of Parent (the "Merger").

F5 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6 · price: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6 · derivative.exercise_date: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

F5 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6 · derivative.expiration_date: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

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July 01, 2025 Filed Jul 2, 2025 16:25 UTC SpringWorks Therapeutics, Inc. SWTX · Entity 15910 Disposition to issuerStock Option (Right to Buy) · Derivative 7,464 Not disclosed Strike: $38.03 Not disclosed
Disclosure

SEC source: 0001104659-25-065318 · tm2519678-13_4seq1.xml · derivative · entry 3

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,464 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated April 27, 2025 (the "Merger Agreement"), by and among the Issuer, Merck KGaA, Darmstadt, Germany, a German corporation with general partners ("Parent"), and EMD Holdings Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of July 1, 2025, with the Issuer surviving the Merger as a wholly owned subsidiary of Parent (the "Merger").

F5 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6 · price: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6 · derivative.exercise_date: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

F5 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6 · derivative.expiration_date: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

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July 01, 2025 Filed Jul 2, 2025 16:25 UTC SpringWorks Therapeutics, Inc. SWTX · Entity 15910 Disposition to issuerStock Option (Right to Buy) · Derivative 29,983 Not disclosed Strike: $18.00 Not disclosed
Disclosure

SEC source: 0001104659-25-065318 · tm2519678-13_4seq1.xml · derivative · entry 2

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 29,983 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated April 27, 2025 (the "Merger Agreement"), by and among the Issuer, Merck KGaA, Darmstadt, Germany, a German corporation with general partners ("Parent"), and EMD Holdings Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of July 1, 2025, with the Issuer surviving the Merger as a wholly owned subsidiary of Parent (the "Merger").

F5 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6 · price: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6 · derivative.exercise_date: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

F5 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6 · derivative.expiration_date: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

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July 01, 2025 Filed Jul 2, 2025 16:25 UTC SpringWorks Therapeutics, Inc. SWTX · Entity 15910 Disposition to issuerCommon Stock 24,727 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-25-065318 · tm2519678-13_4seq1.xml · nonDerivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated April 27, 2025 (the "Merger Agreement"), by and among the Issuer, Merck KGaA, Darmstadt, Germany, a German corporation with general partners ("Parent"), and EMD Holdings Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of July 1, 2025, with the Issuer surviving the Merger as a wholly owned subsidiary of Parent (the "Merger").

F2 · shares: Includes 10,060 shares underlying restricted stock units (each, an "RSU") granted under the Issuer's 2019 Stock Option and Equity Incentive Plan (the "Plan"). Each RSU represents a contingent right to receive one share of Issuer common stock.

F3 · price: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer common stock was cancelled and automatically converted into the right to receive $47.00 in cash, without interest and subject to any required tax withholding (the "Merger Consideration").

F4 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding RSU, whether vested or unvested, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the Merger Consideration payable with respect to such RSU multiplied by (ii) the total number of shares of Issuer common stock subject to such RSU immediately prior to the Effective Time (each a "Parent Cash-Based RSU Award"). Each Parent Cash-Based RSU Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such RSU immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based RSU Award will vest, subject to the applicable holder's continued employment with Parent through such date.

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May 14, 2025 Filed May 15, 2025 18:45 UTC SpringWorks Therapeutics, Inc. SWTX · Entity 15910 GrantCommon Stock 10,060 $0.00 $0.00
Disclosure

SEC source: 0001104659-25-049661 · tm2515271-5_4seq1.xml · nonDerivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,727

F1 · kind: This transaction represents a grant of restricted stock units ("RSUs") pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's annual meeting of stockholders. The RSUs shall vest in full on the earlier of (i) May 14, 2026 and (ii) the next annual meeting of stockholders, subject to continued service to the Issuer by the Reporting Person.

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March 31, 2025 Filed Apr 2, 2025 09:02 UTC Pyxis Oncology, Inc. PYXS · Entity 5986 GrantStock Option (Right to Buy) · Derivative 36,979 $0.98 Strike: $0.98 $36,239.42
Disclosure

SEC source: 0000950170-25-048900 · ownership.xml · derivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,979

Underlying: Common Stock · 36,979 shares

Expires 2035-03-31

F1 · derivative.exercise_date: The shares subject to this option will vest 100% on the first anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date.

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March 30, 2025 Filed Apr 2, 2025 01:13 UTC CDT Equity Inc. CDT · Entity 1035 GrantCommon Stock 47,612 $0.89 $42,374.68
Disclosure

SEC source: 0001641172-25-002240 · ownership.xml · nonDerivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,991

F1 · shares: Represents shares issued pursuant to the 2023 Stock Incentive Plan, in lieu of $42,375 accrued in cash retainers under the Issuer's Non-Employee Director Compensation Program.

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December 18, 2024 Filed Dec 20, 2024 22:06 UTC CDT Equity Inc. CDT · Entity 1035 GrantStock Option (Right to Buy) · Derivative 420,000 $0.07 Strike: $0.07 $29,820.00
Disclosure

SEC source: 0001493152-24-051099 · ownership.xml · derivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 420,000

Underlying: Common Stock · 420,000 shares

Expires 2034-12-18

F1 · security: Represents options to purchase common stock, granted under the Issuer's 2023 Stock Incentive Plan, which were granted at the conclusion of the Issuer's 2024 annual meeting of stockholders.

F2 · derivative.exercise_date: The options will vest on the earlier of (x) the first anniversary of the date of grant, or (y) the date immediately prior to the next annual meeting of the Issuer's stockholders following the date of grant.

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November 18, 2024 Filed Nov 20, 2024 21:30 UTC CDT Equity Inc. CDT · Entity 1035 GrantCommon Stock 437,976 $0.09 $40,249.99
Disclosure

SEC source: 0001493152-24-046993 · ownership.xml · nonDerivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 437,976

F1 · shares: Represents shares issued in lieu of $40,250 accrued in cash retainers under the Issuer's Non-Employee Director Compensation Program.

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May 16, 2024 Filed May 17, 2024 16:06 UTC SpringWorks Therapeutics, Inc. SWTX · Entity 15910 GrantStock Option (Right to Buy) · Derivative 12,216 $0.00 Strike: $44.77 $0.00
Disclosure

SEC source: 0001104659-24-062991 · tm2414847-4_4seq1.xml · derivative · entry 2

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,216

Underlying: Common Stock · 12,216 shares

Expires 2034-05-16

F2 · kind: This transaction represents a grant of options pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's annual meeting of stockholders.

F3 · derivative.exercise_date: The options shall vest in full on the earlier of (i) May 16, 2025 and (ii) the next annual meeting of stockholders, subject to continued service to the Issuer by the Reporting Person.

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May 16, 2024 Filed May 17, 2024 16:06 UTC SpringWorks Therapeutics, Inc. SWTX · Entity 15910 GrantCommon Stock 4,095 $0.00 $0.00
Disclosure

SEC source: 0001104659-24-062991 · tm2414847-4_4seq1.xml · nonDerivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,667

F1 · kind: This transaction represents a grant of restricted stock units ("RSUs") pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's annual meeting of stockholders. The RSUs shall vest in full on the earlier of (i) May 16, 2025 and (ii) the next annual meeting of stockholders, subject to continued service to the Issuer by the Reporting Person.

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April 22, 2024 Filed Apr 24, 2024 21:00 UTC CDT Equity Inc. CDT · Entity 1035 GrantWarrant (Right to buy) · Derivative 103,397 Not disclosed Strike: $3.12 Not disclosed
Disclosure

SEC source: 0001493152-24-015813 · ownership.xml · derivative · entry 2

Lewis-Hall Freda C · CIK 0001437909 · Director

Intelmed LLC · CIK 0001994123 · See Responses

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Emerson Hall

Disclosed balance after: 103,397

Underlying: Common Stock · 103,397 shares

Expires 2027-04-22

F1 · security: Warrants issued in exchange for one year lock-up of reporting person's common stock of the company, par value $0.0001 per share, and the payment of $0.125 per warrant.

F1 · price: Warrants issued in exchange for one year lock-up of reporting person's common stock of the company, par value $0.0001 per share, and the payment of $0.125 per warrant.

F3 · ownership.nature: Such Shares are held by Ms. Lewis-Hall's spouse, Mr. Emerson Hall, Jr. As Mr. Hall's spouse and by virtue of their relationship, Ms. Lewis-Hall may be deemed to share beneficial ownership of such shares held by record by Mr. Emerson Hall, Jr. Ms. Lewis-Hall disclaims any such beneficial ownership except to the extent of her pecuniary interest therein.

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April 22, 2024 Filed Apr 24, 2024 21:00 UTC CDT Equity Inc. CDT · Entity 1035 GrantWarrant (Right to buy) · Derivative 400,664 Not disclosed Strike: $3.12 Not disclosed
Disclosure

SEC source: 0001493152-24-015813 · ownership.xml · derivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

Intelmed LLC · CIK 0001994123 · See Responses

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · Intelmed LLC

Disclosed balance after: 400,664

Underlying: Common Stock · 400,664 shares

Expires 2027-04-22

F1 · security: Warrants issued in exchange for one year lock-up of reporting person's common stock of the company, par value $0.0001 per share, and the payment of $0.125 per warrant.

F1 · price: Warrants issued in exchange for one year lock-up of reporting person's common stock of the company, par value $0.0001 per share, and the payment of $0.125 per warrant.

F2 · ownership.nature: The Shares are held of record by Intelmed LLC ("Intelmed"). Ms. Lewis-Hall is the Managing Director of Intelmed and in such capacity has voting and investment discretion with respect to the Shares held of record by Intelmed. By virtue of this relationship, Ms. Lewis-Hall may be deemed to share beneficial ownership of the Shares held of record by Intelmed. Ms. Lewis-Hall disclaims any such beneficial ownership except to the extent of her pecuniary interest therein.

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March 26, 2024 Filed Mar 28, 2024 16:32 UTC Pyxis Oncology, Inc. PYXS · Entity 5986 GrantCommon Stock 35,219 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-038103 · ownership.xml · nonDerivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 241,405

F1 · shares: Represents restricted stock units that vest 100% on the first anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date.

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December 01, 2023 Filed Dec 14, 2023 22:16 UTC CDT Equity Inc. CDT · Entity 1035 GrantStock Option (Right to Buy) · Derivative 65,000 $5.51 Strike: $5.51 $358,150.00
Disclosure

SEC source: 0001493152-23-044917 · ownership.xml · derivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,000

Underlying: Common Stock · 65,000 shares

Expires 2033-11-30

F1 · security: Represents Options to purchase common stock, granted under the Company's 2023 Stock Incentive Plan.

F2 · derivative.exercise_date: The stock options were granted with a ten-year term and vest 33.3% on each of the first three anniversaries of the vesting commencement date, which is September 22, 2023.

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June 08, 2023 Filed Jun 12, 2023 16:23 UTC EXACT SCIENCES CORP EXAS · Entity 56619 GrantCommon Stock 3,599 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-036303 · doc4.xml · nonDerivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,688

F1 · shares: These shares of restricted stock were issued pursuant to the Company's non-employee director compensation policy.

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May 24, 2023 Filed May 25, 2023 16:27 UTC SpringWorks Therapeutics, Inc. SWTX · Entity 15910 GrantStock Option (Right to Buy) · Derivative 13,774 $0.00 Strike: $32.27 $0.00
Disclosure

SEC source: 0001104659-23-064647 · tm2317015-4_4seq1.xml · derivative · entry 2

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,774

Underlying: Common Stock · 13,774 shares

Expires 2033-05-24

F2 · kind: This transaction represents a grant of options pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's annual meeting of stockholders.

F3 · derivative.exercise_date: The options shall vest in full on the earlier of (1) May 24, 2024 and (2) the next annual meeting of stockholders, subject to continued service to the Issuer by the Reporting Person.

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May 24, 2023 Filed May 25, 2023 16:27 UTC SpringWorks Therapeutics, Inc. SWTX · Entity 15910 GrantCommon Stock 4,648 $0.00 $0.00
Disclosure

SEC source: 0001104659-23-064647 · tm2317015-4_4seq1.xml · nonDerivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,572

F1 · kind: This transaction represents a grant of restricted stock units ("RSUs") pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's annual meeting of stockholders. The RSUs shall vest in full on the earlier of (1) May 24, 2024 and (2) the next annual meeting of stockholders, subject to continued service to the Issuer by the Reporting Person.

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March 24, 2023 Filed Mar 28, 2023 16:44 UTC Pyxis Oncology, Inc. PYXS · Entity 5986 GrantCommon Stock 139,355 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-021409 · doc4.xml · nonDerivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 206,186

F1 · shares: Represents restricted stock units that vest 100% on the first anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date.

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February 22, 2023 Filed Feb 24, 2023 17:35 UTC 1Life Healthcare Inc ONEM · Entity 116460 Disposition to issuerRestricted Stock Units · Derivative 20,728 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-23-001850 · primarydocument.xml · derivative · entry 4

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,728 shares

Expires not disclosed

F6 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the issuer's common stock. RSUs convert into the issuer's common stock on a one-for-one basis.

F7 · price: The RSUs vest on the earlier of (i) the date of the issuer's next annual meeting of stockholders (or the date immediately prior to the next annual meeting of stockholders if the reporting person's service as a director ends at such meeting due to the director's failure to be re-elected or the director not standing for re-election); or (ii) the one-year anniversary measured from the date of grant. At the Effective Time, each outstanding RSU that was unvested was accelerated in full and was automatically converted in to the right to receive the Merger Consideration.

F7 · derivative.exercise_date: The RSUs vest on the earlier of (i) the date of the issuer's next annual meeting of stockholders (or the date immediately prior to the next annual meeting of stockholders if the reporting person's service as a director ends at such meeting due to the director's failure to be re-elected or the director not standing for re-election); or (ii) the one-year anniversary measured from the date of grant. At the Effective Time, each outstanding RSU that was unvested was accelerated in full and was automatically converted in to the right to receive the Merger Consideration.

F7 · derivative.expiration_date: The RSUs vest on the earlier of (i) the date of the issuer's next annual meeting of stockholders (or the date immediately prior to the next annual meeting of stockholders if the reporting person's service as a director ends at such meeting due to the director's failure to be re-elected or the director not standing for re-election); or (ii) the one-year anniversary measured from the date of grant. At the Effective Time, each outstanding RSU that was unvested was accelerated in full and was automatically converted in to the right to receive the Merger Consideration.

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February 22, 2023 Filed Feb 24, 2023 17:35 UTC 1Life Healthcare Inc ONEM · Entity 116460 Disposition to issuerStock Option (Right to Buy) · Derivative 5,294 Not disclosed Strike: $29.00 Not disclosed
Disclosure

SEC source: 0001562180-23-001850 · primarydocument.xml · derivative · entry 3

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,294 shares

Expires 2030-05-13

F4 · price: Pursuant to the Merger Agreement, at the Effective Time, each Option, whether vested or unvested, that has an exercise price per Share that is greater than the Merger Consideration was canceled without the payment of consideration.

F5 · derivative.exercise_date: The shares subject to the option are fully vested and immediately exercisable.

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February 22, 2023 Filed Feb 24, 2023 17:35 UTC 1Life Healthcare Inc ONEM · Entity 116460 Disposition to issuerStock Options (Right to buy) · Derivative 10,381 Not disclosed Strike: $11.56 Not disclosed
Disclosure

SEC source: 0001562180-23-001850 · primarydocument.xml · derivative · entry 2

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,381 shares

Expires 2029-11-20

F2 · price: Pursuant to the Merger Agreement, at the Effective Time, each outstanding option ("Option") to purchase Shares granted under any of the Issuer's 2007 Equity Incentive Plan, 2017 Equity Incentive Plan, 2020 Equity Incentive Plan and the Iora Third Amended and Restated 2011 Equity Incentive Plan (collective, the "Issuer Stock Plans") or portion thereof that was vested or became vested as of the Effective Time, and had an exercise price per Share that is less than the Merger Consideration, was canceled and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the amount by which the Merger Consideration exceeds the applicable exercise price per Share of such Option and (ii) the aggregate number of Shares issuable upon exercise of such Option or portion thereof, subject to any required withholding of taxes.

F3 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the first anniversary of the vesting commencement date; and 1/48th of the shares subject to the option vest monthly thereafter over the following three years, subject to reporting person's continuous service as of each such date. At the Effective Time, any unvested shares subject to the option was accelerated in full.

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February 22, 2023 Filed Feb 24, 2023 17:35 UTC 1Life Healthcare Inc ONEM · Entity 116460 Disposition to issuerCommon Stock 4,534 $18.00 $81,612.00
Disclosure

SEC source: 0001562180-23-001850 · primarydocument.xml · nonDerivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: Reflects disposition of Issuer common stock with the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of July 20, 2022, by and among Issuer, Amazon.com, Inc. ("Parent") and Negroni Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger (the "Merger") between Issuer and Merger Sub on February 22, 2023. Pursuant to the Merger Agreement, as of the effective time of the Merger (the "Effective Time"), each share of Issuer common stock, par value $0.001 per share ("Shares") issued and outstanding immediately prior to the Effective Time was converted automatically into the right to receive $18.00 in cash, without interest (the "Merger Consideration").

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June 09, 2022 Filed Jun 13, 2022 17:19 UTC EXACT SCIENCES CORP EXAS · Entity 56619 GrantCommon Stock 5,606 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-036398 · doc4.xml · nonDerivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,089

F1 · shares: These shares of restricted stock were issued pursuant to the Company's non-employee director compensation policy.

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June 02, 2022 Filed Jun 6, 2022 20:41 UTC 1Life Healthcare Inc ONEM · Entity 116460 GrantRestricted Stock Units · Derivative 20,728 $0.00 $0.00
Disclosure

SEC source: 0001562180-22-004860 · primarydocument.xml · derivative · entry 3

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,728

Underlying: Common Stock · 20,728 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. Restricted stock units convert into the issuer's common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units vest on the earlier of (i) the date of the issuer's next annual meeting of stockholders (or the date immediately prior to the next annual meeting of stockholders if the reporting person's service as a director ends at such meeting due to the director's failure to be re-elected or the director not standing for re-election); or (ii) the one-year anniversary measured from the date of grant.

F2 · derivative.expiration_date: The restricted stock units vest on the earlier of (i) the date of the issuer's next annual meeting of stockholders (or the date immediately prior to the next annual meeting of stockholders if the reporting person's service as a director ends at such meeting due to the director's failure to be re-elected or the director not standing for re-election); or (ii) the one-year anniversary measured from the date of grant.

Read SEC document
June 02, 2022 Filed Jun 6, 2022 20:41 UTC 1Life Healthcare Inc ONEM · Entity 116460 Exercise / conversionRestricted Stock Units · Derivative 4,534 $0.00 $0.00
Disclosure

SEC source: 0001562180-22-004860 · primarydocument.xml · derivative · entry 2

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,534 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 represents a contingent right to receive one share of the issuer's common stock. Restricted stock units convert into the issuer's common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units vest on the earlier of (i) the date of the issuer's next annual meeting of stockholders (or the date immediately prior to the next annual meeting of stockholders if the reporting person's service as a director ends at such meeting due to the director's failure to be re-elected or the director not standing for re-election); or (ii) the one-year anniversary measured from the date of grant.

F2 · derivative.expiration_date: The restricted stock units vest on the earlier of (i) the date of the issuer's next annual meeting of stockholders (or the date immediately prior to the next annual meeting of stockholders if the reporting person's service as a director ends at such meeting due to the director's failure to be re-elected or the director not standing for re-election); or (ii) the one-year anniversary measured from the date of grant.

Read SEC document
June 02, 2022 Filed Jun 6, 2022 20:41 UTC 1Life Healthcare Inc ONEM · Entity 116460 Exercise / conversionCommon Stock 4,534 Not disclosed Not disclosed
Disclosure

SEC source: 0001562180-22-004860 · primarydocument.xml · nonDerivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,534

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 represents a contingent right to receive one share of the issuer's common stock. Restricted stock units convert into the issuer's common stock on a one-for-one basis.

Read SEC document
May 19, 2022 Filed May 20, 2022 17:39 UTC SpringWorks Therapeutics, Inc. SWTX · Entity 15910 GrantStock Option (Right to Buy) · Derivative 15,318 $0.00 Strike: $35.42 $0.00
Disclosure

SEC source: 0001104659-22-063505 · tm2216253-1_4seq1.xml · derivative · entry 2

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,318

Underlying: Common Stock · 15,318 shares

Expires 2032-05-19

F3 · kind: This transaction represents a grant of options pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's annual meeting of stockholders.

F4 · derivative.exercise_date: The options shall vest in full on the earlier of (1) May 19, 2023 and (2) the next annual meeting of stockholders, subject to continued service to the Issuer by the Reporting Person.

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May 19, 2022 Filed May 20, 2022 17:39 UTC SpringWorks Therapeutics, Inc. SWTX · Entity 15910 GrantCommon Stock 4,818 $0.00 $0.00
Disclosure

SEC source: 0001104659-22-063505 · tm2216253-1_4seq1.xml · nonDerivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,924

F1 · kind: This transaction represents a grant of restricted stock units ("RSUs") pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's annual meeting of stockholders. The RSUs shall vest in full on the earlier of (1) May 19, 2023 and (2) the next annual meeting of stockholders, subject to continued service to the Issuer by the Reporting Person.

F2 · balance_after: Reflects a correction to the total number of securities beneficially owned, previously reported on a Form 4 filed on May 21, 2021.

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March 31, 2022 Filed Apr 4, 2022 16:15 UTC Pyxis Oncology, Inc. PYXS · Entity 5986 GrantCommon Stock 66,831 $0.00 $0.00
Disclosure

SEC source: 0001140361-22-012913 · form4.xml · nonDerivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,831

F1 · shares: Represents restricted stock units that vest 100% on the first anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date.

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October 07, 2021 Filed Oct 12, 2021 19:47 UTC Pyxis Oncology, Inc. PYXS · Entity 5986 GrantStock Option (Right to buy) · Derivative 42,191 $0.00 Strike: $16.00 $0.00
Disclosure

SEC source: 0001140361-21-034422 · form4.xml · derivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,191

Underlying: Common Stock · 42,191 shares

Expires 2031-10-07

F1 · derivative.exercise_date: These stock options vest as to 1/3 of the shares covered by the option on each annual general meeting of the Issuer's stockholders following the October 7, 2021 grant date, subject to the reporting person's continued service through the applicable vesting date.

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June 30, 2021 Filed Jul 2, 2021 16:03 UTC EXACT SCIENCES CORP EXAS · Entity 56619 GrantCommon Stock 2,011 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-044866 · doc4.xml · nonDerivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,483

F1 · security: These shares of restricted stock were issued pursuant to the Company's non-employee director compensation policy.

Read SEC document
June 03, 2021 Filed Jun 7, 2021 20:27 UTC 1Life Healthcare Inc ONEM · Entity 116460 GrantRestricted Stock Units · Derivative 4,534 $0.00 $0.00
Disclosure

SEC source: 0001562180-21-004110 · primarydocument.xml · derivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,534

Underlying: Common Stock · 4,534 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units will vest on the earlier of (i) the date of the issuer's next annual meeting of stockholders (or the date immediately prior to the next annual meeting of stockholders if the reporting person's service as a director ends at such meeting due to the director's failure to be re-elected or the director not standing for re-election); or (ii) the one-year anniversary measured from the date of grant.

F2 · derivative.expiration_date: The restricted stock units will vest on the earlier of (i) the date of the issuer's next annual meeting of stockholders (or the date immediately prior to the next annual meeting of stockholders if the reporting person's service as a director ends at such meeting due to the director's failure to be re-elected or the director not standing for re-election); or (ii) the one-year anniversary measured from the date of grant.

Read SEC document
May 20, 2021 Filed May 21, 2021 16:32 UTC SpringWorks Therapeutics, Inc. SWTX · Entity 15910 GrantStock Option (Right to Buy) · Derivative 6,998 $0.00 Strike: $75.94 $0.00
Disclosure

SEC source: 0001104659-21-070516 · tm2117215-3_4seq1.xml · derivative · entry 2

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,998

Underlying: Common Stock · 6,998 shares

Expires 2031-05-20

F2 · derivative.exercise_date: The options shall vest in full on the earlier of (1) May 20, 2022 and (2) the next annual meeting of stockholders, subject to continued service to the Issuer on the vesting date.

Read SEC document
May 20, 2021 Filed May 21, 2021 16:32 UTC SpringWorks Therapeutics, Inc. SWTX · Entity 15910 GrantCommon Stock 1,106 $0.00 $0.00
Disclosure

SEC source: 0001104659-21-070516 · tm2117215-3_4seq1.xml · nonDerivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,227

F1 · shares: Represents restricted stock awards. The restricted stock awards shall vest in full on the earlier of (1) May 20, 2022 and (2) the next annual meeting of stockholders, subject to continued service to the Issuer on the vesting date.

Read SEC document
July 23, 2020 Filed Jul 24, 2020 16:32 UTC EXACT SCIENCES CORP EXAS · Entity 56619 GrantCommon Stock 3,408 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-043603 · doc4.xml · nonDerivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,472

F1 · security: These shares of restricted stock were issued pursuant to the Company's non-employee director compensation policy.

Read SEC document
May 20, 2020 Filed May 22, 2020 16:37 UTC SpringWorks Therapeutics, Inc. SWTX · Entity 15910 GrantStock Option (Right to Buy) · Derivative 7,464 $0.00 Strike: $38.03 $0.00
Disclosure

SEC source: 0001104659-20-065406 · tm2020645d3_form4.xml · derivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,464

Underlying: Common Stock · 7,464 shares

Expires 2030-05-20

F1 · derivative.exercise_date: This option shall vest in full on the earlier of (1) May 20, 2021 or (2) the next annual meeting of stockholders, subject to continued service to the Issuer on the vesting date.

Read SEC document
May 14, 2020 Filed May 18, 2020 17:48 UTC 1Life Healthcare Inc ONEM · Entity 116460 GrantStock Option (Right to Buy) · Derivative 5,294 $0.00 Strike: $29.00 $0.00
Disclosure

SEC source: 0001209191-20-030193 · doc4.xml · derivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,294

Underlying: Common Stock · 5,294 shares

Expires 2030-05-13

F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of (i) the date of the Issuer's next annual meeting of stockholders (or the date immediately prior to the next annual meeting of stockholders if the Reporting Person's service as a director ends at such meeting due to the director's failure to be re-elected or the director not standing for re-election); or (ii) the one-year anniversary measured from the date of grant.

Read SEC document
April 22, 2020 Filed Apr 24, 2020 16:51 UTC EXACT SCIENCES CORP EXAS · Entity 56619 GrantCommon Stock 5,064 $0.00 $0.00
Disclosure

SEC source: 0001209191-20-025614 · doc4.xml · nonDerivative · entry 1

Lewis-Hall Freda C · CIK 0001437909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,064

F1 · security: These shares of restricted stock were issued pursuant to the Company's non-employee director compensation policy and vest in three equal annual installments beginning on the first anniversary of the grant date.

Read SEC document
September 17, 2019 Filed Sep 19, 2019 19:12 UTC SpringWorks Therapeutics, Inc. SWTX · Entity 15910 ConversionSeries B Convertible Preferred Stock · Derivative 526,602 Not disclosed Not disclosed
Disclosure

SEC source: 0001144204-19-045298 · tv529791_form4.xml · derivative · entry 7

Lewis-Hall Freda C · CIK 0001437909 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Pfizer Ventures (US) LLC

Disclosed balance after: 0

Underlying: Common Stock · 526,602 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_price: Each share of Series B Convertible Preferred Stock is convertible into shares of the Issuer's Common Stock on a 6.5810:1 basis. Upon the closing of the Issuer's initial public offering, all shares of Series B Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer. The Series B Convertible Preferred Stock has no expiration date.

F3 · price: Each share of Series B Convertible Preferred Stock is convertible into shares of the Issuer's Common Stock on a 6.5810:1 basis. Upon the closing of the Issuer's initial public offering, all shares of Series B Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer. The Series B Convertible Preferred Stock has no expiration date.

F3 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock is convertible into shares of the Issuer's Common Stock on a 6.5810:1 basis. Upon the closing of the Issuer's initial public offering, all shares of Series B Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer. The Series B Convertible Preferred Stock has no expiration date.

F3 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock is convertible into shares of the Issuer's Common Stock on a 6.5810:1 basis. Upon the closing of the Issuer's initial public offering, all shares of Series B Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer. The Series B Convertible Preferred Stock has no expiration date.

F5 · ownership.nature: Shares held by Pfizer Ventures. The reporting person is employed by Pfizer. The reporting person has no voting or dispositive power over the shares held by Pfizer or Pfizer Ventures and disclaims beneficial ownership of all such shares.

Read SEC document
September 17, 2019 Filed Sep 19, 2019 19:12 UTC SpringWorks Therapeutics, Inc. SWTX · Entity 15910 ConversionSeries A Convertible Preferred Stock · Derivative 3,039,051 Not disclosed Not disclosed
Disclosure

SEC source: 0001144204-19-045298 · tv529791_form4.xml · derivative · entry 6

Lewis-Hall Freda C · CIK 0001437909 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Pfizer Inc.

Disclosed balance after: 0

Underlying: Common Stock · 3,039,051 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_price: Each share of Series A Convertible Preferred Stock is convertible into shares of the Issuer's Common Stock on a 6.5810:1 basis. Upon the closing of the Issuer's initial public offering, all shares of Series A Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer. The Series A Convertible Preferred Stock has no expiration date.

F2 · price: Each share of Series A Convertible Preferred Stock is convertible into shares of the Issuer's Common Stock on a 6.5810:1 basis. Upon the closing of the Issuer's initial public offering, all shares of Series A Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer. The Series A Convertible Preferred Stock has no expiration date.

F2 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock is convertible into shares of the Issuer's Common Stock on a 6.5810:1 basis. Upon the closing of the Issuer's initial public offering, all shares of Series A Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer. The Series A Convertible Preferred Stock has no expiration date.

F2 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock is convertible into shares of the Issuer's Common Stock on a 6.5810:1 basis. Upon the closing of the Issuer's initial public offering, all shares of Series A Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer. The Series A Convertible Preferred Stock has no expiration date.

F4 · ownership.nature: Shares held by Pfizer Inc. ("Pfizer"). The reporting person is employed by Pfizer. The reporting person has no voting or dispositive power over the shares held by Pfizer or Pfizer Ventures (US) Holdings ("Pfizer Ventures"), a wholly owned subsidiary of Pfizer, and disclaims beneficial ownership of all such shares.

Read SEC document
September 17, 2019 Filed Sep 19, 2019 19:12 UTC SpringWorks Therapeutics, Inc. SWTX · Entity 15910 ConversionJunior Series A Convertible Preferred Stock · Derivative 978,194 Not disclosed Not disclosed
Disclosure

SEC source: 0001144204-19-045298 · tv529791_form4.xml · derivative · entry 5

Lewis-Hall Freda C · CIK 0001437909 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Pfizer Inc.

Disclosed balance after: 0

Underlying: Common Stock · 978,194 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 of Junior Series A Convertible Preferred Stock is convertible into shares of the Issuer's Common Stock on a 6.5810:1 basis. Upon the closing of the Issuer's initial public offering, all shares of Junior Series A Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer. The Junior Series A Convertible Preferred Stock has no expiration date.

F1 · price: Each share of Junior Series A Convertible Preferred Stock is convertible into shares of the Issuer's Common Stock on a 6.5810:1 basis. Upon the closing of the Issuer's initial public offering, all shares of Junior Series A Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer. The Junior Series A Convertible Preferred Stock has no expiration date.

F1 · derivative.exercise_date: Each share of Junior Series A Convertible Preferred Stock is convertible into shares of the Issuer's Common Stock on a 6.5810:1 basis. Upon the closing of the Issuer's initial public offering, all shares of Junior Series A Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer. The Junior Series A Convertible Preferred Stock has no expiration date.

F1 · derivative.expiration_date: Each share of Junior Series A Convertible Preferred Stock is convertible into shares of the Issuer's Common Stock on a 6.5810:1 basis. Upon the closing of the Issuer's initial public offering, all shares of Junior Series A Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer. The Junior Series A Convertible Preferred Stock has no expiration date.

F4 · ownership.nature: Shares held by Pfizer Inc. ("Pfizer"). The reporting person is employed by Pfizer. The reporting person has no voting or dispositive power over the shares held by Pfizer or Pfizer Ventures (US) Holdings ("Pfizer Ventures"), a wholly owned subsidiary of Pfizer, and disclaims beneficial ownership of all such shares.

Read SEC document
September 17, 2019 Filed Sep 19, 2019 19:12 UTC SpringWorks Therapeutics, Inc. SWTX · Entity 15910 PurchaseCommon Stock 50,000 $18.00 $900,000.00
Disclosure

SEC source: 0001144204-19-045298 · tv529791_form4.xml · nonDerivative · entry 4

Lewis-Hall Freda C · CIK 0001437909 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Pfizer Ventures (US) LLC

Disclosed balance after: 4,593,847

F5 · ownership.nature: Shares held by Pfizer Ventures. The reporting person is employed by Pfizer. The reporting person has no voting or dispositive power over the shares held by Pfizer or Pfizer Ventures and disclaims beneficial ownership of all such shares.

Read SEC document
September 17, 2019 Filed Sep 19, 2019 19:12 UTC SpringWorks Therapeutics, Inc. SWTX · Entity 15910 ConversionCommon Stock 526,602 Not disclosed Not disclosed
Disclosure

SEC source: 0001144204-19-045298 · tv529791_form4.xml · nonDerivative · entry 3

Lewis-Hall Freda C · CIK 0001437909 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Pfizer Ventures (US) LLC

Disclosed balance after: 4,543,847

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 · price: Each share of Series B Convertible Preferred Stock is convertible into shares of the Issuer's Common Stock on a 6.5810:1 basis. Upon the closing of the Issuer's initial public offering, all shares of Series B Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer. The Series B Convertible Preferred Stock has no expiration date.

F5 · ownership.nature: Shares held by Pfizer Ventures. The reporting person is employed by Pfizer. The reporting person has no voting or dispositive power over the shares held by Pfizer or Pfizer Ventures and disclaims beneficial ownership of all such shares.

Read SEC document
September 17, 2019 Filed Sep 19, 2019 19:12 UTC SpringWorks Therapeutics, Inc. SWTX · Entity 15910 ConversionCommon Stock 3,039,051 Not disclosed Not disclosed
Disclosure

SEC source: 0001144204-19-045298 · tv529791_form4.xml · nonDerivative · entry 2

Lewis-Hall Freda C · CIK 0001437909 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Pfizer Inc.

Disclosed balance after: 4,017,245

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 · price: Each share of Series A Convertible Preferred Stock is convertible into shares of the Issuer's Common Stock on a 6.5810:1 basis. Upon the closing of the Issuer's initial public offering, all shares of Series A Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer. The Series A Convertible Preferred Stock has no expiration date.

F4 · ownership.nature: Shares held by Pfizer Inc. ("Pfizer"). The reporting person is employed by Pfizer. The reporting person has no voting or dispositive power over the shares held by Pfizer or Pfizer Ventures (US) Holdings ("Pfizer Ventures"), a wholly owned subsidiary of Pfizer, and disclaims beneficial ownership of all such shares.

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.