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TAKEDA PHARMACEUTICAL CO LTD

Disclosed activity across 13 companies

Tapewire entity
2662
SEC CIK
0001395064

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Calithera Biosciences, Inc.CALA · Entity 113073Former 10% OwnerApril 17, 2023May 26, 2023
Mirum Pharmaceuticals, Inc.MIRM · Entity 241610% ownerJuly 17, 2019July 17, 2019
Molecular Templates, Inc.MTEM · Entity 8598710% ownerAugust 01, 2017September 08, 2017
Myovant Sciences Ltd.MYOV · Entity 11567710% ownerMarch 19, 2018March 21, 2018
Ovid Therapeutics Inc.OVID · Entity 541110% ownerDecember 08, 2025December 09, 2025
Quince Therapeutics, Inc.CRTX · Entity 740310% ownerMay 13, 2019May 13, 2019
Tessera Defense & Homeland Security Inc.PHGE · Entity 838410% ownerOctober 28, 2019November 05, 2019

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.

Calithera Biosciences, Inc.

Report date April 17, 2023 · Filed May 26, 2023

Jointly reported with Takeda Ventures, Inc.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $40.08IndirectSee Explanation of Responses0 Reported balance After 2023-04-17 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2023-04-17 · Other · Disposed 1,000,000 · Balance 0

F1: The Series A preferred stock (the "Preferred Stock") of Calithera Biosciences, Inc. ("Calithera") was convertible at the option of holder into 857,844 shares of common stock of Calithera ("Common Stock") at a conversion price per share of $40.08, subject to price-based anti-dilution adjustments which, if triggered, would result in additional shares of Common Stock being issued upon conversion of the Preferred Stock.

F2: The reported securities were redeemed by the Issuer for the following consideration (in the aggregate, the "Repurchase Price"): (i) $4.0 million in aggregate cash consideration, (ii) a right to receive certain securities held by the Issuer and (iii) a contingent value right entitling Takeda Ventures, Inc. ("TVI") to receive all the remaining proceeds from the sale of the Issuer's assets (not to exceed the Repurchase Price Limit), after establishing a reserve, which will be used to pay all expenses and other known, non-contingent liabilities and obligations, and includes reasonable provision for future expenses of liquidation and contingent and unknown liabilities as required by Delaware law.

F3: Notwithstanding the foregoing footnote 2, TVI agreed that if the holders of the Common Stock approved the Plan of Dissolution at a special meeting before June 30, 2023, then the Issuer could distribute up to $0.40 per share in a common stock liquidating distribution to the holders of Common Stock prior to any future distribution to Takeda pursuant to the contingent value right. For the avoidance of doubt, if the holders of Common Stock do not approve the Issuer's Plan of Dissolution at a special meeting before June 30, 2023, then the Issuer will not make the aforementioned common stock liquidating distribution to the holders of Common Stock. In no event shall the Repurchase Price exceed a total value of $35 million (the "Repurchase Price Limit").

F4: The Series A convertible preferred stock has no expiration date.

F5: The Preferred Stock was directly held by TVI, a wholly owned subsidiary of Takeda Pharmaceuticals U.S.A., Inc. ("TPUSA"). TPUSA is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.30%). Takeda Pharmaceuticals International AG is a wholly owned subsidiary of Takeda Pharmaceutical Company Limited. As such, Takeda Pharmaceutical Company Limited is an indirect beneficial owner of the reported securities.

Filing footnotes · ownership attribution and instrument terms

F1: The Series A preferred stock (the "Preferred Stock") of Calithera Biosciences, Inc. ("Calithera") was convertible at the option of holder into 857,844 shares of common stock of Calithera ("Common Stock") at a conversion price per share of $40.08, subject to price-based anti-dilution adjustments which, if triggered, would result in additional shares of Common Stock being issued upon conversion of the Preferred Stock.

F2: The reported securities were redeemed by the Issuer for the following consideration (in the aggregate, the "Repurchase Price"): (i) $4.0 million in aggregate cash consideration, (ii) a right to receive certain securities held by the Issuer and (iii) a contingent value right entitling Takeda Ventures, Inc. ("TVI") to receive all the remaining proceeds from the sale of the Issuer's assets (not to exceed the Repurchase Price Limit), after establishing a reserve, which will be used to pay all expenses and other known, non-contingent liabilities and obligations, and includes reasonable provision for future expenses of liquidation and contingent and unknown liabilities as required by Delaware law.

F3: Notwithstanding the foregoing footnote 2, TVI agreed that if the holders of the Common Stock approved the Plan of Dissolution at a special meeting before June 30, 2023, then the Issuer could distribute up to $0.40 per share in a common stock liquidating distribution to the holders of Common Stock prior to any future distribution to Takeda pursuant to the contingent value right. For the avoidance of doubt, if the holders of Common Stock do not approve the Issuer's Plan of Dissolution at a special meeting before June 30, 2023, then the Issuer will not make the aforementioned common stock liquidating distribution to the holders of Common Stock. In no event shall the Repurchase Price exceed a total value of $35 million (the "Repurchase Price Limit").

F4: The Series A convertible preferred stock has no expiration date.

F5: The Preferred Stock was directly held by TVI, a wholly owned subsidiary of Takeda Pharmaceuticals U.S.A., Inc. ("TPUSA"). TPUSA is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.30%). Takeda Pharmaceuticals International AG is a wholly owned subsidiary of Takeda Pharmaceutical Company Limited. As such, Takeda Pharmaceutical Company Limited is an indirect beneficial owner of the reported securities.

Mirum Pharmaceuticals, Inc.

Report date July 17, 2019 · Filed July 17, 2019

Jointly reported with Shire International GmbH

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote1,859,151 Reported balance Holding disclosure · report date 2019-07-17 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 1,859,151

F1: These shares are owned directly by Shire International GmbH, which is a wholly owned subsidiary of Takeda Pharmaceutical Company Limited ("Takeda"). Shire International GmbH is a direct, wholly owned subsidiary of Shire Pharmaceuticals International UC, which is a direct subsidiary of Shire Holdings Luxembourg Sarl (60.04%), Shire Ireland Investment Ltd. (28.27%) and Shire Human Genetic Therapies Inc. (11.69%). Shire Human Genetic Therapies Inc. is a direct, wholly owned subsidiary of Shire Holdings US AG, which is a direct, wholly owned subsidiary of Shire Biopharmaceuticals Holdings Ireland Limited, which is a direct, wholly owned subsidiary of Shire North American Group Inc. Each of Shire Holdings Luxembourg Sarl, Shire Ireland Investment Ltd. and Shire North American Group Inc. is a direct, wholly owned subsidiary of Shire Pharmaceutical Holdings Ireland Limited, which is a direct, wholly owned subsidiary of Shire Limited, which is a direct, wholly owned subsidiary of Takeda.

Filing footnotes · ownership attribution and instrument terms

F1: These shares are owned directly by Shire International GmbH, which is a wholly owned subsidiary of Takeda Pharmaceutical Company Limited ("Takeda"). Shire International GmbH is a direct, wholly owned subsidiary of Shire Pharmaceuticals International UC, which is a direct subsidiary of Shire Holdings Luxembourg Sarl (60.04%), Shire Ireland Investment Ltd. (28.27%) and Shire Human Genetic Therapies Inc. (11.69%). Shire Human Genetic Therapies Inc. is a direct, wholly owned subsidiary of Shire Holdings US AG, which is a direct, wholly owned subsidiary of Shire Biopharmaceuticals Holdings Ireland Limited, which is a direct, wholly owned subsidiary of Shire North American Group Inc. Each of Shire Holdings Luxembourg Sarl, Shire Ireland Investment Ltd. and Shire North American Group Inc. is a direct, wholly owned subsidiary of Shire Pharmaceutical Holdings Ireland Limited, which is a direct, wholly owned subsidiary of Shire Limited, which is a direct, wholly owned subsidiary of Takeda.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect2,922,993 Reported balance Holding disclosure · report date 2017-08-01 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 2,922,993

F1: These shares are owned directly by Millennium Pharmaceuticals, Inc. ("Millennium"). Millennium is a wholly-owned direct subsidiary of Takeda Pharmaceuticals U.S.A., Inc. ("Takeda USA"). Takeda Pharmaceutical Company Limited ("Takeda") owns 73.37% of Takeda USA, and Takeda Pharmaceuticals International AG ("Takeda International") owns 26.63% of Takeda USA. Takeda Pharma A/S ("Takeda Denmark") owns 86.83% of Takeda International, and Takeda Europe Holdings B.V. ("Takeda Europe") owns 13.17% of Takeda International. Takeda Denmark is a wholly-owned direct subsidiary of Takeda A/S. Takeda owns 76.09% of Takeda A/S, and Takeda Europe owns 23.91% of Takeda A/S. Takeda Europe is a wholly-owned direct subsidiary of Takeda. Takeda, Takeda USA, Takeda International, Takeda Denmark, Takeda A/S and Takeda Europe each disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: These shares are owned directly by Millennium Pharmaceuticals, Inc. ("Millennium"). Millennium is a wholly-owned direct subsidiary of Takeda Pharmaceuticals U.S.A., Inc. ("Takeda USA"). Takeda Pharmaceutical Company Limited ("Takeda") owns 73.37% of Takeda USA, and Takeda Pharmaceuticals International AG ("Takeda International") owns 26.63% of Takeda USA. Takeda Pharma A/S ("Takeda Denmark") owns 86.83% of Takeda International, and Takeda Europe Holdings B.V. ("Takeda Europe") owns 13.17% of Takeda International. Takeda Denmark is a wholly-owned direct subsidiary of Takeda A/S. Takeda owns 76.09% of Takeda A/S, and Takeda Europe owns 23.91% of Takeda A/S. Takeda Europe is a wholly-owned direct subsidiary of Takeda. Takeda, Takeda USA, Takeda International, Takeda Denmark, Takeda A/S and Takeda Europe each disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein.

Myovant Sciences Ltd.

Report date March 19, 2018 · Filed March 21, 2018

Jointly reported with Takeda Pharmaceuticals International AG, Takeda A/S, Takeda Europe Holdings B.V., Takeda Pharma A/S

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2018-03-19 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2018-03-19 · Sale · Disposed 7,420,625 · Balance 0

F1: On March 19, 2018, Takeda Pharmaceuticals International AG ("TPIZ") sold 7,420,625 shares of common stock of Myovant Sciences Ltd. to Millennium Pharmaceuticals, Inc. ("Millennium"). As of the date of this filing: Millennium is owned by Takeda Pharmaceuticals U.S.A., Inc. ("TPUSA"); 41.05% of the outstanding common stock of TPUSA is owned by TPIZ and 58.95% of the outstanding common stock of TPUSA is owned by Takeda Pharmaceuticals Company Limited (''TPC"); 86.831% of the outstanding shares of TPIZ are owned by Takeda Pharma A/S (Denmark) ("TPAS") and 13.1680% of the outstanding shares of TPIZ are owned by Takeda Europe Holdings BY (Netherlands) (''TEHBV"); TPAS is owned by Takeda A/S (Denmark) (''T AS"); 76.09% of the outstanding shares of TAS are owned by TPC and 23.91% of the outstanding shares of TAS are owned by TEHBV. TEHBV is wholly-owned by TPC.

F2: (Continued from Footnote 1) Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its pecuniary interest therein.

Common StockSEC Table I · non-derivativeIndirectBy Millennium Pharmaceuticals , Inc.7,420,625 Reported balance After 2018-03-19 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 2 · 2018-03-19 · Purchase · Acquired 7,420,625 · Balance 7,420,625

F1: On March 19, 2018, Takeda Pharmaceuticals International AG ("TPIZ") sold 7,420,625 shares of common stock of Myovant Sciences Ltd. to Millennium Pharmaceuticals, Inc. ("Millennium"). As of the date of this filing: Millennium is owned by Takeda Pharmaceuticals U.S.A., Inc. ("TPUSA"); 41.05% of the outstanding common stock of TPUSA is owned by TPIZ and 58.95% of the outstanding common stock of TPUSA is owned by Takeda Pharmaceuticals Company Limited (''TPC"); 86.831% of the outstanding shares of TPIZ are owned by Takeda Pharma A/S (Denmark) ("TPAS") and 13.1680% of the outstanding shares of TPIZ are owned by Takeda Europe Holdings BY (Netherlands) (''TEHBV"); TPAS is owned by Takeda A/S (Denmark) (''T AS"); 76.09% of the outstanding shares of TAS are owned by TPC and 23.91% of the outstanding shares of TAS are owned by TEHBV. TEHBV is wholly-owned by TPC.

F2: (Continued from Footnote 1) Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: On March 19, 2018, Takeda Pharmaceuticals International AG ("TPIZ") sold 7,420,625 shares of common stock of Myovant Sciences Ltd. to Millennium Pharmaceuticals, Inc. ("Millennium"). As of the date of this filing: Millennium is owned by Takeda Pharmaceuticals U.S.A., Inc. ("TPUSA"); 41.05% of the outstanding common stock of TPUSA is owned by TPIZ and 58.95% of the outstanding common stock of TPUSA is owned by Takeda Pharmaceuticals Company Limited (''TPC"); 86.831% of the outstanding shares of TPIZ are owned by Takeda Pharma A/S (Denmark) ("TPAS") and 13.1680% of the outstanding shares of TPIZ are owned by Takeda Europe Holdings BY (Netherlands) (''TEHBV"); TPAS is owned by Takeda A/S (Denmark) (''T AS"); 76.09% of the outstanding shares of TAS are owned by TPC and 23.91% of the outstanding shares of TAS are owned by TEHBV. TEHBV is wholly-owned by TPC.

F2: (Continued from Footnote 1) Each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its pecuniary interest therein.

Ovid Therapeutics Inc.

Report date December 08, 2025 · Filed December 09, 2025

Jointly reported with Takeda Pharmaceuticals U.S.A., Inc.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Explanation of Responses7,000,000 Reported balance After 2025-12-08 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2025-12-08 · Conversion · Acquired 1,250,000 · Balance 7,000,000

F1: Each share of Series A convertible preferred stock (the "Preferred Stock") of Ovid Therapeutics Inc. ("Ovid") was convertible into 1,000 shares of Ovid's common stock at any time at the election of TPUSA. On December 8, 2025, TPUSA elected to convert all 1,250 shares of Preferred Stock held by TPUSA.

F2: The reportable securities are directly held by Takeda Pharmaceuticals U.S.A., Inc. ("TPUSA"). TPUSA is a direct subsidiary of Takeda Pharmaceuticals International AG. Takeda Pharmaceuticals International AG is a wholly owned subsidiary of Takeda Pharmaceutical Company Limited. As such, Takeda may be deemed to have indirect beneficial ownership of the securities held by TPUSA.

Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00IndirectSee Explanation of Responses0 Reported balance After 2025-12-08 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2025-12-08 · Conversion · Disposed 1,250 · Balance 0

F1: Each share of Series A convertible preferred stock (the "Preferred Stock") of Ovid Therapeutics Inc. ("Ovid") was convertible into 1,000 shares of Ovid's common stock at any time at the election of TPUSA. On December 8, 2025, TPUSA elected to convert all 1,250 shares of Preferred Stock held by TPUSA.

F3: The Preferred Stock had no expiration date.

F2: The reportable securities are directly held by Takeda Pharmaceuticals U.S.A., Inc. ("TPUSA"). TPUSA is a direct subsidiary of Takeda Pharmaceuticals International AG. Takeda Pharmaceuticals International AG is a wholly owned subsidiary of Takeda Pharmaceutical Company Limited. As such, Takeda may be deemed to have indirect beneficial ownership of the securities held by TPUSA.

Common StockSEC Table I · non-derivativeDirect1,781,996 Reported balance Holding disclosure · report date 2025-12-08 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 1,781,996

Filing footnotes · ownership attribution and instrument terms

F1: Each share of Series A convertible preferred stock (the "Preferred Stock") of Ovid Therapeutics Inc. ("Ovid") was convertible into 1,000 shares of Ovid's common stock at any time at the election of TPUSA. On December 8, 2025, TPUSA elected to convert all 1,250 shares of Preferred Stock held by TPUSA.

F2: The reportable securities are directly held by Takeda Pharmaceuticals U.S.A., Inc. ("TPUSA"). TPUSA is a direct subsidiary of Takeda Pharmaceuticals International AG. Takeda Pharmaceuticals International AG is a wholly owned subsidiary of Takeda Pharmaceutical Company Limited. As such, Takeda may be deemed to have indirect beneficial ownership of the securities held by TPUSA.

F3: The Preferred Stock had no expiration date.

Quince Therapeutics, Inc.

Report date May 13, 2019 · Filed May 13, 2019

Jointly reported with Takeda Ventures, Inc., Takeda Pharmaceuticals International AG, Takeda Pharmaceuticals U.S.A., Inc.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect2,679,802 Reported balance After 2019-05-13 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2019-05-13 · Conversion · Acquired 2,679,802 · Balance 2,679,802

F1: The total represents shares received upon conversion of shares of Series A Redeemable Convertible Preferred Stock and shares of Series B Redeemable Convertible Preferred Stock.

F2: Each share of Series A Redeemable Convertible Preferred Stock and each share of Series B Redeemable Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock, respectively, for no additional consideration at the completion of the Issuer's initial public offering. The Redeemable Convertible Preferred Stock had no expiration date.

F3: These shares are owned directly by Takeda Ventures, Inc. Takeda Ventures, Inc. is a wholly-owned direct subsidiary of Takeda Pharmaceuticals U.S.A., Inc. ("Takeda USA"). Takeda Pharmaceuticals International AG owns 41.91% of Takeda USA, and Takeda Pharmaceutical Company Limited owns 58.09% of Takeda USA. Takeda Pharmaceuticals International AG is a wholly-owned direct subsidiary of Takeda Pharmaceutical Company Limited.

Series A Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2019-05-13 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2019-05-13 · Conversion · Disposed 2,360,071 · Balance 0

F2: Each share of Series A Redeemable Convertible Preferred Stock and each share of Series B Redeemable Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock, respectively, for no additional consideration at the completion of the Issuer's initial public offering. The Redeemable Convertible Preferred Stock had no expiration date.

F3: These shares are owned directly by Takeda Ventures, Inc. Takeda Ventures, Inc. is a wholly-owned direct subsidiary of Takeda Pharmaceuticals U.S.A., Inc. ("Takeda USA"). Takeda Pharmaceuticals International AG owns 41.91% of Takeda USA, and Takeda Pharmaceutical Company Limited owns 58.09% of Takeda USA. Takeda Pharmaceuticals International AG is a wholly-owned direct subsidiary of Takeda Pharmaceutical Company Limited.

Series B Redeemable Convertible Preferred StockSEC Table II · derivative / convertible securityDirect0 Reported balance After 2019-05-13 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2019-05-13 · Conversion · Disposed 319,731 · Balance 0

F2: Each share of Series A Redeemable Convertible Preferred Stock and each share of Series B Redeemable Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock, respectively, for no additional consideration at the completion of the Issuer's initial public offering. The Redeemable Convertible Preferred Stock had no expiration date.

F3: These shares are owned directly by Takeda Ventures, Inc. Takeda Ventures, Inc. is a wholly-owned direct subsidiary of Takeda Pharmaceuticals U.S.A., Inc. ("Takeda USA"). Takeda Pharmaceuticals International AG owns 41.91% of Takeda USA, and Takeda Pharmaceutical Company Limited owns 58.09% of Takeda USA. Takeda Pharmaceuticals International AG is a wholly-owned direct subsidiary of Takeda Pharmaceutical Company Limited.

Filing footnotes · ownership attribution and instrument terms

F1: The total represents shares received upon conversion of shares of Series A Redeemable Convertible Preferred Stock and shares of Series B Redeemable Convertible Preferred Stock.

F2: Each share of Series A Redeemable Convertible Preferred Stock and each share of Series B Redeemable Convertible Preferred Stock automatically converted into one share of Issuer's Common Stock, respectively, for no additional consideration at the completion of the Issuer's initial public offering. The Redeemable Convertible Preferred Stock had no expiration date.

F3: These shares are owned directly by Takeda Ventures, Inc. Takeda Ventures, Inc. is a wholly-owned direct subsidiary of Takeda Pharmaceuticals U.S.A., Inc. ("Takeda USA"). Takeda Pharmaceuticals International AG owns 41.91% of Takeda USA, and Takeda Pharmaceutical Company Limited owns 58.09% of Takeda USA. Takeda Pharmaceuticals International AG is a wholly-owned direct subsidiary of Takeda Pharmaceutical Company Limited.

Tessera Defense & Homeland Security Inc.

Report date October 28, 2019 · Filed November 05, 2019

Jointly reported with Takeda Ventures, Inc.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote2,470,935 Reported balance Holding disclosure · report date 2019-10-28 · row 1 Holding and transaction disclosures are not merged.
1 source row

Row 1 · Balance 2,470,935

F1: Takeda Pharmaceutical Company Limited's beneficial ownership of the reported securities is comprised of 2,470,935 shares of Common Stock held by Takeda Ventures, Inc., a wholly-owned indirect subsidiary of Takeda Pharmaceutical Company Limited. Takeda Ventures, Inc. is owned directly by Takeda Pharmaceuticals U.S.A., Inc., which is owned directly by both Takeda Pharmaceutical Company Limited (58.09%) and Takeda Pharmaceuticals International AG (41.91%). Takeda Pharmaceuticals International AG is a wholly-owned direct subsidiary of Takeda Pharmaceutical Company Limited.

Filing footnotes · ownership attribution and instrument terms

F1: Takeda Pharmaceutical Company Limited's beneficial ownership of the reported securities is comprised of 2,470,935 shares of Common Stock held by Takeda Ventures, Inc., a wholly-owned indirect subsidiary of Takeda Pharmaceutical Company Limited. Takeda Ventures, Inc. is owned directly by Takeda Pharmaceuticals U.S.A., Inc., which is owned directly by both Takeda Pharmaceutical Company Limited (58.09%) and Takeda Pharmaceuticals International AG (41.91%). Takeda Pharmaceuticals International AG is a wholly-owned direct subsidiary of Takeda Pharmaceutical Company Limited.

Past disclosures · reporting ended (6)

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

Day One Biopharmaceuticals, Inc.

Report date December 07, 2021 · Filed December 09, 2021

Jointly reported with Takeda Pharmaceuticals U.S.A., Inc., MILLENNIUM PHARMACEUTICALS INC, Takeda Ventures, Inc.

Section 16 reporting ended · disclosed 2021-12-09. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Explanation of Responses6,120,124 Last balance in matching sequence After 2021-12-08 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rows

Row 1 · 2021-12-07 · Sale · Disposed 128,745 · Balance 6,288,652

F1: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $18.00 to $18.97. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

F2: This statement is being filed jointly by Takeda Pharmaceutical Company Limited, Takeda Pharmaceuticals U.S.A. Inc., Millennium Pharmaceuticals, Inc. and Takeda Ventures, Inc.

F3: Takeda Pharmaceutical Company Limiteds beneficial ownership of the reported securities is comprised of 6,062,900 shares of Common Stock held by Millennium Pharmaceuticals, Inc. and 57,224 shares of Common Stock held by Takeda Ventures, Inc. Millennium Pharmaceuticals, Inc. and Takeda Ventures, Inc. are each direct, wholly owned subsidiaries of Takeda Pharmaceuticals U.S.A. Inc., which is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.3%).

F4: Takeda Pharmaceuticals International AG is a direct, wholly owned subsidiary of Takeda Pharmaceutical Company Limited. Each of Takeda Pharmaceutical Company Limited and Takeda Pharmaceuticals U.S.A. Inc. may be deemed to share voting and dispositive power over the shares held by Takeda Ventures, Inc. and Millennium Pharmaceuticals, Inc. Each of Takeda Pharmaceutical Company Limited and Takeda Pharmaceuticals U.S.A. Inc. disclaims beneficial ownership of the shares held by Takeda Ventures, Inc. and Millennium Pharmaceuticals, Inc. except to the extent of their pecuniary interests therein.

Row 2 · 2021-12-07 · Sale · Disposed 58,190 · Balance 6,230,462

F5: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $19.00 to $19.88. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

F2: This statement is being filed jointly by Takeda Pharmaceutical Company Limited, Takeda Pharmaceuticals U.S.A. Inc., Millennium Pharmaceuticals, Inc. and Takeda Ventures, Inc.

F3: Takeda Pharmaceutical Company Limiteds beneficial ownership of the reported securities is comprised of 6,062,900 shares of Common Stock held by Millennium Pharmaceuticals, Inc. and 57,224 shares of Common Stock held by Takeda Ventures, Inc. Millennium Pharmaceuticals, Inc. and Takeda Ventures, Inc. are each direct, wholly owned subsidiaries of Takeda Pharmaceuticals U.S.A. Inc., which is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.3%).

F4: Takeda Pharmaceuticals International AG is a direct, wholly owned subsidiary of Takeda Pharmaceutical Company Limited. Each of Takeda Pharmaceutical Company Limited and Takeda Pharmaceuticals U.S.A. Inc. may be deemed to share voting and dispositive power over the shares held by Takeda Ventures, Inc. and Millennium Pharmaceuticals, Inc. Each of Takeda Pharmaceutical Company Limited and Takeda Pharmaceuticals U.S.A. Inc. disclaims beneficial ownership of the shares held by Takeda Ventures, Inc. and Millennium Pharmaceuticals, Inc. except to the extent of their pecuniary interests therein.

Row 3 · 2021-12-08 · Sale · Disposed 110,338 · Balance 6,120,124

F6: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $18.00 to $18.47. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

F2: This statement is being filed jointly by Takeda Pharmaceutical Company Limited, Takeda Pharmaceuticals U.S.A. Inc., Millennium Pharmaceuticals, Inc. and Takeda Ventures, Inc.

F3: Takeda Pharmaceutical Company Limiteds beneficial ownership of the reported securities is comprised of 6,062,900 shares of Common Stock held by Millennium Pharmaceuticals, Inc. and 57,224 shares of Common Stock held by Takeda Ventures, Inc. Millennium Pharmaceuticals, Inc. and Takeda Ventures, Inc. are each direct, wholly owned subsidiaries of Takeda Pharmaceuticals U.S.A. Inc., which is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.3%).

F4: Takeda Pharmaceuticals International AG is a direct, wholly owned subsidiary of Takeda Pharmaceutical Company Limited. Each of Takeda Pharmaceutical Company Limited and Takeda Pharmaceuticals U.S.A. Inc. may be deemed to share voting and dispositive power over the shares held by Takeda Ventures, Inc. and Millennium Pharmaceuticals, Inc. Each of Takeda Pharmaceutical Company Limited and Takeda Pharmaceuticals U.S.A. Inc. disclaims beneficial ownership of the shares held by Takeda Ventures, Inc. and Millennium Pharmaceuticals, Inc. except to the extent of their pecuniary interests therein.

Filing footnotes · ownership attribution and instrument terms

F1: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $18.00 to $18.97. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

F2: This statement is being filed jointly by Takeda Pharmaceutical Company Limited, Takeda Pharmaceuticals U.S.A. Inc., Millennium Pharmaceuticals, Inc. and Takeda Ventures, Inc.

F3: Takeda Pharmaceutical Company Limiteds beneficial ownership of the reported securities is comprised of 6,062,900 shares of Common Stock held by Millennium Pharmaceuticals, Inc. and 57,224 shares of Common Stock held by Takeda Ventures, Inc. Millennium Pharmaceuticals, Inc. and Takeda Ventures, Inc. are each direct, wholly owned subsidiaries of Takeda Pharmaceuticals U.S.A. Inc., which is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.3%).

F4: Takeda Pharmaceuticals International AG is a direct, wholly owned subsidiary of Takeda Pharmaceutical Company Limited. Each of Takeda Pharmaceutical Company Limited and Takeda Pharmaceuticals U.S.A. Inc. may be deemed to share voting and dispositive power over the shares held by Takeda Ventures, Inc. and Millennium Pharmaceuticals, Inc. Each of Takeda Pharmaceutical Company Limited and Takeda Pharmaceuticals U.S.A. Inc. disclaims beneficial ownership of the shares held by Takeda Ventures, Inc. and Millennium Pharmaceuticals, Inc. except to the extent of their pecuniary interests therein.

F5: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $19.00 to $19.88. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

F6: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $18.00 to $18.47. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

HilleVax, Inc.

Report date September 17, 2025 · Filed September 19, 2025

Jointly reported with Takeda Vaccines, Inc.

Section 16 reporting ended · disclosed 2025-09-19. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee Explanation of Responses0 Reported balance After 2025-09-17 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2025-09-17 · Other · Disposed 6,724,000 · Balance 0

F1: These shares were sold pursuant to the cash tender offer (the "Tender Offer") by XOMA Royalty Corporation, a Nevada corporation ("Parent") and XRA 4 Corp., a Delaware corporation and a wholly owned subsidiary of Parent, to purchase all of the outstanding shares of common stock of the Issuer at an offer price of (i) $1.95 per share of common stock and (ii) one non-transferable contractual contingent value right. The Tender Offer expired as scheduled at one minute after 11:59 p.m., Eastern Time, on September 15, 2025 (the "Expiration Time") and closing of the Tender Offer was announced on September 17, 2025. As all conditions to the Tender Offer were satisfied or waived, on September 17, 2025, Parent irrevocably accepted for payment all shares validly tendered into and not validly withdrawn from the Tender Offer and paid for all such shares in accordance with the Tender Offer.

F2: Takeda Pharmaceutical Company Limited has beneficial ownership of the reported securities, all of which are held directly by Takeda Vaccines, Inc., an indirect wholly-owned subsidiary of Takeda Pharmaceutical Company Limited. Takeda Vaccines, Inc. is owned directly by Takeda Pharmaceuticals U.S.A., Inc., which is owned directly by both Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.30%). Takeda Pharmaceuticals International AG is a wholly-owned direct subsidiary of Takeda Pharmaceutical Company Limited.

Filing footnotes · ownership attribution and instrument terms

F1: These shares were sold pursuant to the cash tender offer (the "Tender Offer") by XOMA Royalty Corporation, a Nevada corporation ("Parent") and XRA 4 Corp., a Delaware corporation and a wholly owned subsidiary of Parent, to purchase all of the outstanding shares of common stock of the Issuer at an offer price of (i) $1.95 per share of common stock and (ii) one non-transferable contractual contingent value right. The Tender Offer expired as scheduled at one minute after 11:59 p.m., Eastern Time, on September 15, 2025 (the "Expiration Time") and closing of the Tender Offer was announced on September 17, 2025. As all conditions to the Tender Offer were satisfied or waived, on September 17, 2025, Parent irrevocably accepted for payment all shares validly tendered into and not validly withdrawn from the Tender Offer and paid for all such shares in accordance with the Tender Offer.

F2: Takeda Pharmaceutical Company Limited has beneficial ownership of the reported securities, all of which are held directly by Takeda Vaccines, Inc., an indirect wholly-owned subsidiary of Takeda Pharmaceutical Company Limited. Takeda Vaccines, Inc. is owned directly by Takeda Pharmaceuticals U.S.A., Inc., which is owned directly by both Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.30%). Takeda Pharmaceuticals International AG is a wholly-owned direct subsidiary of Takeda Pharmaceutical Company Limited.

Phathom Pharmaceuticals, Inc.

Report date January 24, 2024 · Filed January 25, 2024

Section 16 reporting ended · disclosed 2024-01-25. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect3,755,583 Reported balance After 2024-01-24 transaction · row 1
1 source row

Row 1 · 2024-01-24 · Sale · Disposed 3,703,703 · Balance 3,755,583

Theseus Pharmaceuticals, Inc.

Report date October 12, 2021 · Filed October 15, 2021

Jointly reported with ARIAD PHARMACEUTICALS INC

Section 16 reporting ended · disclosed 2021-10-15. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee explanation1,615,427 Reported balance After 2021-10-12 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2021-10-12 · Conversion · Acquired 1,615,427 · Balance 1,615,427

F1: Each share of Series A Preferred Stock converted into shares of the Issuers Common Stock at the close of the Issuers initial public offering without payment of additional consideration. The Series A Preferred Stock had no expiration date.

F2: This statement is being filed jointly by Takeda Pharmaceutical Company Limited and ARIAD Pharmaceuticals, Inc.

F3: The reportable securities are owned directly by ARIAD Pharmaceuticals, Inc. Takeda Pharmaceutical Company Limited's beneficial ownership of these securities is comprised of the reportable securities owned by ARIAD Pharmaceuticals, Inc. ARIAD Pharmaceuticals, Inc., is a direct, wholly owned subsidiary of Takeda Pharmaceuticals U.S.A. Inc., which is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.3%). Takeda Pharmaceuticals International AG is a direct, wholly owned subsidiary of Takeda Pharmaceutical Company Limited.

Series A Preferred StockSEC Table II · derivative / convertible securityIndirectSee explanation0 Reported balance After 2021-10-12 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2021-10-12 · Conversion · Disposed 1,615,427 · Balance 0

F1: Each share of Series A Preferred Stock converted into shares of the Issuers Common Stock at the close of the Issuers initial public offering without payment of additional consideration. The Series A Preferred Stock had no expiration date.

F2: This statement is being filed jointly by Takeda Pharmaceutical Company Limited and ARIAD Pharmaceuticals, Inc.

F3: The reportable securities are owned directly by ARIAD Pharmaceuticals, Inc. Takeda Pharmaceutical Company Limited's beneficial ownership of these securities is comprised of the reportable securities owned by ARIAD Pharmaceuticals, Inc. ARIAD Pharmaceuticals, Inc., is a direct, wholly owned subsidiary of Takeda Pharmaceuticals U.S.A. Inc., which is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.3%). Takeda Pharmaceuticals International AG is a direct, wholly owned subsidiary of Takeda Pharmaceutical Company Limited.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of Series A Preferred Stock converted into shares of the Issuers Common Stock at the close of the Issuers initial public offering without payment of additional consideration. The Series A Preferred Stock had no expiration date.

F2: This statement is being filed jointly by Takeda Pharmaceutical Company Limited and ARIAD Pharmaceuticals, Inc.

F3: The reportable securities are owned directly by ARIAD Pharmaceuticals, Inc. Takeda Pharmaceutical Company Limited's beneficial ownership of these securities is comprised of the reportable securities owned by ARIAD Pharmaceuticals, Inc. ARIAD Pharmaceuticals, Inc., is a direct, wholly owned subsidiary of Takeda Pharmaceuticals U.S.A. Inc., which is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.3%). Takeda Pharmaceuticals International AG is a direct, wholly owned subsidiary of Takeda Pharmaceutical Company Limited.

Translate Bio, Inc.

Report date June 30, 2020 · Filed June 30, 2020

Jointly reported with Shire Human Genetic Therapies, Inc.

Section 16 reporting ended · disclosed 2020-06-30. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2020-06-30 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2020-06-30 · Sale · Disposed 6,824,992 · Balance 0

F1: This statement is being filed jointly by Shire Human Genetic Therapies, Inc. and Takeda Pharmaceutical Company Limited.

F2: These shares are owned directly by Shire Human Genetic Therapies, Inc., which is an indirect wholly owned subsidiary of Takeda Pharmaceutical Company Limited. Takeda Pharmaceutical Company Limited is an indirect beneficial owner of the reported securities.

Filing footnotes · ownership attribution and instrument terms

F1: This statement is being filed jointly by Shire Human Genetic Therapies, Inc. and Takeda Pharmaceutical Company Limited.

F2: These shares are owned directly by Shire Human Genetic Therapies, Inc., which is an indirect wholly owned subsidiary of Takeda Pharmaceutical Company Limited. Takeda Pharmaceutical Company Limited is an indirect beneficial owner of the reported securities.

Xilio Therapeutics, Inc.

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

Jointly reported with Takeda Ventures, Inc.

Section 16 reporting ended · disclosed 2021-10-27. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee explanation1,475,121 Reported balance After 2021-10-26 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source row

Row 1 · 2021-10-26 · Conversion · Acquired 1,475,121 · Balance 1,475,121

F1: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of the Issuers Common Stock on a one-for-one basis immediately prior to the completion of the Issuers initial public offering for no additional consideration. The Preferred Stock had no expiration date.

F2: This statement is being filed jointly by Takeda Pharmaceutical Company Limited and Takeda Ventures, Inc.

F3: The reportable securities are owned directly by Takeda Ventures, Inc. Takeda Pharmaceutical Company Limiteds beneficial ownership of these securities is comprised of the reportable securities owned by Takeda Ventures, Inc. Takeda Ventures, Inc., is a direct, wholly owned subsidiary of Takeda Pharmaceuticals U.S.A. Inc., which is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.3%). Takeda Pharmaceuticals International AG is a direct, wholly owned subsidiary of Takeda Pharmaceutical Company Limited.

Series B Preferred StockSEC Table II · derivative / convertible securityIndirectSee explanation0 Reported balance After 2021-10-26 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2021-10-26 · Conversion · Disposed 1,248,180 · Balance 0

F1: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of the Issuers Common Stock on a one-for-one basis immediately prior to the completion of the Issuers initial public offering for no additional consideration. The Preferred Stock had no expiration date.

F2: This statement is being filed jointly by Takeda Pharmaceutical Company Limited and Takeda Ventures, Inc.

F3: The reportable securities are owned directly by Takeda Ventures, Inc. Takeda Pharmaceutical Company Limiteds beneficial ownership of these securities is comprised of the reportable securities owned by Takeda Ventures, Inc. Takeda Ventures, Inc., is a direct, wholly owned subsidiary of Takeda Pharmaceuticals U.S.A. Inc., which is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.3%). Takeda Pharmaceuticals International AG is a direct, wholly owned subsidiary of Takeda Pharmaceutical Company Limited.

Series C Preferred StockSEC Table II · derivative / convertible securityIndirectSee explanation0 Reported balance After 2021-10-26 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2021-10-26 · Conversion · Disposed 226,941 · Balance 0

F1: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of the Issuers Common Stock on a one-for-one basis immediately prior to the completion of the Issuers initial public offering for no additional consideration. The Preferred Stock had no expiration date.

F2: This statement is being filed jointly by Takeda Pharmaceutical Company Limited and Takeda Ventures, Inc.

F3: The reportable securities are owned directly by Takeda Ventures, Inc. Takeda Pharmaceutical Company Limiteds beneficial ownership of these securities is comprised of the reportable securities owned by Takeda Ventures, Inc. Takeda Ventures, Inc., is a direct, wholly owned subsidiary of Takeda Pharmaceuticals U.S.A. Inc., which is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.3%). Takeda Pharmaceuticals International AG is a direct, wholly owned subsidiary of Takeda Pharmaceutical Company Limited.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of the Issuers Common Stock on a one-for-one basis immediately prior to the completion of the Issuers initial public offering for no additional consideration. The Preferred Stock had no expiration date.

F2: This statement is being filed jointly by Takeda Pharmaceutical Company Limited and Takeda Ventures, Inc.

F3: The reportable securities are owned directly by Takeda Ventures, Inc. Takeda Pharmaceutical Company Limiteds beneficial ownership of these securities is comprised of the reportable securities owned by Takeda Ventures, Inc. Takeda Ventures, Inc., is a direct, wholly owned subsidiary of Takeda Pharmaceuticals U.S.A. Inc., which is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.3%). Takeda Pharmaceuticals International AG is a direct, wholly owned subsidiary of Takeda Pharmaceutical Company Limited.

Transaction history

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

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
December 08, 2025 Filed Dec 9, 2025 21:19 UTC Ovid Therapeutics Inc. OVID · Entity 5411 ConversionSeries A Convertible Preferred Stock · Derivative 1,250 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001395064-25-000172 · wk-form4_1765333162.xml · derivative · entry 3

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

Takeda Pharmaceuticals U.S.A., Inc. · CIK 0001716229 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 0

Underlying: Common Stock · 1,250 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_date: Each share of Series A convertible preferred stock (the "Preferred Stock") of Ovid Therapeutics Inc. ("Ovid") was convertible into 1,000 shares of Ovid's common stock at any time at the election of TPUSA. On December 8, 2025, TPUSA elected to convert all 1,250 shares of Preferred Stock held by TPUSA.

F3 · derivative.expiration_date: The Preferred Stock had no expiration date.

F2 · ownership.nature: The reportable securities are directly held by Takeda Pharmaceuticals U.S.A., Inc. ("TPUSA"). TPUSA is a direct subsidiary of Takeda Pharmaceuticals International AG. Takeda Pharmaceuticals International AG is a wholly owned subsidiary of Takeda Pharmaceutical Company Limited. As such, Takeda may be deemed to have indirect beneficial ownership of the securities held by TPUSA.

Read SEC document
December 08, 2025 Filed Dec 9, 2025 21:19 UTC Ovid Therapeutics Inc. OVID · Entity 5411 ConversionCommon Stock 1,250,000 $0.00 $0.00
Disclosure

SEC source: 0001395064-25-000172 · wk-form4_1765333162.xml · nonDerivative · entry 1

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

Takeda Pharmaceuticals U.S.A., Inc. · CIK 0001716229 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 7,000,000

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 · shares: Each share of Series A convertible preferred stock (the "Preferred Stock") of Ovid Therapeutics Inc. ("Ovid") was convertible into 1,000 shares of Ovid's common stock at any time at the election of TPUSA. On December 8, 2025, TPUSA elected to convert all 1,250 shares of Preferred Stock held by TPUSA.

F2 · ownership.nature: The reportable securities are directly held by Takeda Pharmaceuticals U.S.A., Inc. ("TPUSA"). TPUSA is a direct subsidiary of Takeda Pharmaceuticals International AG. Takeda Pharmaceuticals International AG is a wholly owned subsidiary of Takeda Pharmaceutical Company Limited. As such, Takeda may be deemed to have indirect beneficial ownership of the securities held by TPUSA.

Read SEC document
September 17, 2025 Filed Sep 19, 2025 11:23 UTC HilleVax, Inc. HLVX · Entity 75097 OtherCommon Stock 6,724,000 $1.95 $13,111,800.00
Disclosure

SEC source: 0001395064-25-000140 · wk-form4_1758280990.xml · nonDerivative · entry 1

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

Takeda Vaccines, Inc. · CIK 0001905616 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 0

F1 · price: These shares were sold pursuant to the cash tender offer (the "Tender Offer") by XOMA Royalty Corporation, a Nevada corporation ("Parent") and XRA 4 Corp., a Delaware corporation and a wholly owned subsidiary of Parent, to purchase all of the outstanding shares of common stock of the Issuer at an offer price of (i) $1.95 per share of common stock and (ii) one non-transferable contractual contingent value right. The Tender Offer expired as scheduled at one minute after 11:59 p.m., Eastern Time, on September 15, 2025 (the "Expiration Time") and closing of the Tender Offer was announced on September 17, 2025. As all conditions to the Tender Offer were satisfied or waived, on September 17, 2025, Parent irrevocably accepted for payment all shares validly tendered into and not validly withdrawn from the Tender Offer and paid for all such shares in accordance with the Tender Offer.

F2 · ownership.nature: Takeda Pharmaceutical Company Limited has beneficial ownership of the reported securities, all of which are held directly by Takeda Vaccines, Inc., an indirect wholly-owned subsidiary of Takeda Pharmaceutical Company Limited. Takeda Vaccines, Inc. is owned directly by Takeda Pharmaceuticals U.S.A., Inc., which is owned directly by both Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.30%). Takeda Pharmaceuticals International AG is a wholly-owned direct subsidiary of Takeda Pharmaceutical Company Limited.

Read SEC document
January 24, 2024 Filed Jan 25, 2024 11:13 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 SaleCommon Stock 3,703,703 $8.10 $29,999,994.30
Disclosure

SEC source: 0001395064-24-000008 · wk-form4_1706181182.xml · nonDerivative · entry 1

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,755,583

Read SEC document
April 17, 2023 Filed May 26, 2023 07:08 UTC Calithera Biosciences, Inc. CALA · Entity 113073 OtherSeries A Convertible Preferred Stock · Derivative 1,000,000 Not disclosed Strike: $40.08 Not disclosed
Disclosure

SEC source: 0001395064-23-000040 · wf-form4_168509928424875.xml · derivative · entry 1

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · Former 10% Owner

Takeda Ventures, Inc. · CIK 0001771657 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 0

Underlying: Common Stock · 857,844 shares

Expires not disclosed

F1 · derivative.exercise_price: The Series A preferred stock (the "Preferred Stock") of Calithera Biosciences, Inc. ("Calithera") was convertible at the option of holder into 857,844 shares of common stock of Calithera ("Common Stock") at a conversion price per share of $40.08, subject to price-based anti-dilution adjustments which, if triggered, would result in additional shares of Common Stock being issued upon conversion of the Preferred Stock.

F2 · kind: The reported securities were redeemed by the Issuer for the following consideration (in the aggregate, the "Repurchase Price"): (i) $4.0 million in aggregate cash consideration, (ii) a right to receive certain securities held by the Issuer and (iii) a contingent value right entitling Takeda Ventures, Inc. ("TVI") to receive all the remaining proceeds from the sale of the Issuer's assets (not to exceed the Repurchase Price Limit), after establishing a reserve, which will be used to pay all expenses and other known, non-contingent liabilities and obligations, and includes reasonable provision for future expenses of liquidation and contingent and unknown liabilities as required by Delaware law.

F3 · kind: Notwithstanding the foregoing footnote 2, TVI agreed that if the holders of the Common Stock approved the Plan of Dissolution at a special meeting before June 30, 2023, then the Issuer could distribute up to $0.40 per share in a common stock liquidating distribution to the holders of Common Stock prior to any future distribution to Takeda pursuant to the contingent value right. For the avoidance of doubt, if the holders of Common Stock do not approve the Issuer's Plan of Dissolution at a special meeting before June 30, 2023, then the Issuer will not make the aforementioned common stock liquidating distribution to the holders of Common Stock. In no event shall the Repurchase Price exceed a total value of $35 million (the "Repurchase Price Limit").

F2 · price: The reported securities were redeemed by the Issuer for the following consideration (in the aggregate, the "Repurchase Price"): (i) $4.0 million in aggregate cash consideration, (ii) a right to receive certain securities held by the Issuer and (iii) a contingent value right entitling Takeda Ventures, Inc. ("TVI") to receive all the remaining proceeds from the sale of the Issuer's assets (not to exceed the Repurchase Price Limit), after establishing a reserve, which will be used to pay all expenses and other known, non-contingent liabilities and obligations, and includes reasonable provision for future expenses of liquidation and contingent and unknown liabilities as required by Delaware law.

F3 · price: Notwithstanding the foregoing footnote 2, TVI agreed that if the holders of the Common Stock approved the Plan of Dissolution at a special meeting before June 30, 2023, then the Issuer could distribute up to $0.40 per share in a common stock liquidating distribution to the holders of Common Stock prior to any future distribution to Takeda pursuant to the contingent value right. For the avoidance of doubt, if the holders of Common Stock do not approve the Issuer's Plan of Dissolution at a special meeting before June 30, 2023, then the Issuer will not make the aforementioned common stock liquidating distribution to the holders of Common Stock. In no event shall the Repurchase Price exceed a total value of $35 million (the "Repurchase Price Limit").

F4 · derivative.expiration_date: The Series A convertible preferred stock has no expiration date.

F5 · ownership.nature: The Preferred Stock was directly held by TVI, a wholly owned subsidiary of Takeda Pharmaceuticals U.S.A., Inc. ("TPUSA"). TPUSA is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.30%). Takeda Pharmaceuticals International AG is a wholly owned subsidiary of Takeda Pharmaceutical Company Limited. As such, Takeda Pharmaceutical Company Limited is an indirect beneficial owner of the reported securities.

Read SEC document
November 30, 2022 Filed Dec 1, 2022 22:47 UTC HilleVax, Inc. HLVX · Entity 75097 OtherWarrant (Right to Buy) · Derivative 5,883,500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001395064-22-000146 · wf-form4_166993485183963.xml · derivative · entry 2

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

Takeda Vaccines, Inc. · CIK 0001905616 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 0

Underlying: Common Stock · 5,883,500 shares

Expires 2031-07-02

F2 · ownership.nature: Takeda Pharmaceutical Company Limited has beneficial ownership of the reported securities, all of which are held directly by Takeda Vaccines, Inc., an indirect wholly-owned subsidiary of TakedaPharmaceutical Company Limited. Takeda Vaccines, Inc. is owned directly by Takeda Pharmaceuticals U.S.A., Inc., which is owned directly by both Takeda Pharmaceutical Company Limited (72.70%) andTakeda Pharmaceuticals International AG (27.30%). Takeda Pharmaceuticals International AG is a wholly-owned direct subsidiary of Takeda Pharmaceutical Company Limited.

Read SEC document
November 30, 2022 Filed Dec 1, 2022 22:47 UTC HilleVax, Inc. HLVX · Entity 75097 OtherCommon Stock 5,883,500 $0.00 $0.00
Disclosure

SEC source: 0001395064-22-000146 · wf-form4_166993485183963.xml · nonDerivative · entry 1

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

Takeda Vaccines, Inc. · CIK 0001905616 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 6,724,000

F1 · price: On November 30,2022, the Reporting Person exercised a Warrant to purchase 5,883,500 shares of the Issuers common stock with an exercise price of $0.0000595 per share.

F2 · ownership.nature: Takeda Pharmaceutical Company Limited has beneficial ownership of the reported securities, all of which are held directly by Takeda Vaccines, Inc., an indirect wholly-owned subsidiary of TakedaPharmaceutical Company Limited. Takeda Vaccines, Inc. is owned directly by Takeda Pharmaceuticals U.S.A., Inc., which is owned directly by both Takeda Pharmaceutical Company Limited (72.70%) andTakeda Pharmaceuticals International AG (27.30%). Takeda Pharmaceuticals International AG is a wholly-owned direct subsidiary of Takeda Pharmaceutical Company Limited.

Read SEC document
July 01, 2022 Filed Jul 6, 2022 06:28 UTC Ovid Therapeutics Inc. OVID · Entity 5411 OtherSeries A Convertible Preferred Stock · Derivative 1,250 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001395064-22-000121 · wf-form4_165710328185839.xml · derivative · entry 5

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

Takeda Pharmaceuticals U.S.A., Inc. · CIK 0001716229 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 1,250

Underlying: Common Stock · 1,250,000 shares

Expires not disclosed

F2 · kind: In connection with the Restructuring, Millennium also distributed 1,250 shares of Ovid's Series A convertible preferred stock (the "Preferred Stock") to TPUSA. Each share of Preferred Stock is convertible into 1,000 shares of Common Stock at any time at the election of TPUSA, subject to a conversion cap that prevents TPUSA from converting the Preferred Stock if TPUSA or Takeda would beneficially own more than 14.99% of the total number of shares of Common Stock issued and outstanding following such conversion. TPUSA may elect to increase this conversion cap to up to 19.99% of the total number of shares of Common Stock by providing 61 days' written notice to the issuer.

F2 · shares: In connection with the Restructuring, Millennium also distributed 1,250 shares of Ovid's Series A convertible preferred stock (the "Preferred Stock") to TPUSA. Each share of Preferred Stock is convertible into 1,000 shares of Common Stock at any time at the election of TPUSA, subject to a conversion cap that prevents TPUSA from converting the Preferred Stock if TPUSA or Takeda would beneficially own more than 14.99% of the total number of shares of Common Stock issued and outstanding following such conversion. TPUSA may elect to increase this conversion cap to up to 19.99% of the total number of shares of Common Stock by providing 61 days' written notice to the issuer.

F2 · derivative.exercise_date: In connection with the Restructuring, Millennium also distributed 1,250 shares of Ovid's Series A convertible preferred stock (the "Preferred Stock") to TPUSA. Each share of Preferred Stock is convertible into 1,000 shares of Common Stock at any time at the election of TPUSA, subject to a conversion cap that prevents TPUSA from converting the Preferred Stock if TPUSA or Takeda would beneficially own more than 14.99% of the total number of shares of Common Stock issued and outstanding following such conversion. TPUSA may elect to increase this conversion cap to up to 19.99% of the total number of shares of Common Stock by providing 61 days' written notice to the issuer.

F3 · derivative.expiration_date: The Preferred Stock has no expiration date.

F2 · balance_after: In connection with the Restructuring, Millennium also distributed 1,250 shares of Ovid's Series A convertible preferred stock (the "Preferred Stock") to TPUSA. Each share of Preferred Stock is convertible into 1,000 shares of Common Stock at any time at the election of TPUSA, subject to a conversion cap that prevents TPUSA from converting the Preferred Stock if TPUSA or Takeda would beneficially own more than 14.99% of the total number of shares of Common Stock issued and outstanding following such conversion. TPUSA may elect to increase this conversion cap to up to 19.99% of the total number of shares of Common Stock by providing 61 days' written notice to the issuer.

F1 · ownership.nature: On July 1, 2022, the reporting persons effected an internal reorganization (the "Restructuring") whereby Millennium Pharmaceuticals, Inc. ("Millennium"), a wholly owned subsidiary of Takeda Pharmaceuticals U.S.A., Inc. ("TPUSA"), distributed its shares of Ovid Therapeutics Inc.'s ("Ovid") common stock (the "Common Stock") to TPUSA. TPUSA is a direct subsidiary of Takeda Pharmaceutical Company Limited ("Takeda") (72.70%) and Takeda Pharmaceuticals International AG (27.30%). Takeda Pharmaceuticals International AG is a wholly owned subsidiary of Takeda. As such, Takeda is an indirect beneficial owner of the securities held by TPUSA, and its ownership remains unchanged from the Restructuring, including the 1,781,996 shares of Common Stock held directly by Takeda. No additional consideration was paid as part of the distribution of the Common Stock from Millennium to TPUSA.

F2 · ownership.nature: In connection with the Restructuring, Millennium also distributed 1,250 shares of Ovid's Series A convertible preferred stock (the "Preferred Stock") to TPUSA. Each share of Preferred Stock is convertible into 1,000 shares of Common Stock at any time at the election of TPUSA, subject to a conversion cap that prevents TPUSA from converting the Preferred Stock if TPUSA or Takeda would beneficially own more than 14.99% of the total number of shares of Common Stock issued and outstanding following such conversion. TPUSA may elect to increase this conversion cap to up to 19.99% of the total number of shares of Common Stock by providing 61 days' written notice to the issuer.

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July 01, 2022 Filed Jul 6, 2022 06:28 UTC Ovid Therapeutics Inc. OVID · Entity 5411 OtherSeries A Convertible Preferred Stock · Derivative 1,250 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001395064-22-000121 · wf-form4_165710328185839.xml · derivative · entry 4

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

Takeda Pharmaceuticals U.S.A., Inc. · CIK 0001716229 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 0

Underlying: Common Stock · 1,250,000 shares

Expires not disclosed

F2 · kind: In connection with the Restructuring, Millennium also distributed 1,250 shares of Ovid's Series A convertible preferred stock (the "Preferred Stock") to TPUSA. Each share of Preferred Stock is convertible into 1,000 shares of Common Stock at any time at the election of TPUSA, subject to a conversion cap that prevents TPUSA from converting the Preferred Stock if TPUSA or Takeda would beneficially own more than 14.99% of the total number of shares of Common Stock issued and outstanding following such conversion. TPUSA may elect to increase this conversion cap to up to 19.99% of the total number of shares of Common Stock by providing 61 days' written notice to the issuer.

F2 · shares: In connection with the Restructuring, Millennium also distributed 1,250 shares of Ovid's Series A convertible preferred stock (the "Preferred Stock") to TPUSA. Each share of Preferred Stock is convertible into 1,000 shares of Common Stock at any time at the election of TPUSA, subject to a conversion cap that prevents TPUSA from converting the Preferred Stock if TPUSA or Takeda would beneficially own more than 14.99% of the total number of shares of Common Stock issued and outstanding following such conversion. TPUSA may elect to increase this conversion cap to up to 19.99% of the total number of shares of Common Stock by providing 61 days' written notice to the issuer.

F2 · derivative.exercise_date: In connection with the Restructuring, Millennium also distributed 1,250 shares of Ovid's Series A convertible preferred stock (the "Preferred Stock") to TPUSA. Each share of Preferred Stock is convertible into 1,000 shares of Common Stock at any time at the election of TPUSA, subject to a conversion cap that prevents TPUSA from converting the Preferred Stock if TPUSA or Takeda would beneficially own more than 14.99% of the total number of shares of Common Stock issued and outstanding following such conversion. TPUSA may elect to increase this conversion cap to up to 19.99% of the total number of shares of Common Stock by providing 61 days' written notice to the issuer.

F3 · derivative.expiration_date: The Preferred Stock has no expiration date.

F2 · balance_after: In connection with the Restructuring, Millennium also distributed 1,250 shares of Ovid's Series A convertible preferred stock (the "Preferred Stock") to TPUSA. Each share of Preferred Stock is convertible into 1,000 shares of Common Stock at any time at the election of TPUSA, subject to a conversion cap that prevents TPUSA from converting the Preferred Stock if TPUSA or Takeda would beneficially own more than 14.99% of the total number of shares of Common Stock issued and outstanding following such conversion. TPUSA may elect to increase this conversion cap to up to 19.99% of the total number of shares of Common Stock by providing 61 days' written notice to the issuer.

F1 · ownership.nature: On July 1, 2022, the reporting persons effected an internal reorganization (the "Restructuring") whereby Millennium Pharmaceuticals, Inc. ("Millennium"), a wholly owned subsidiary of Takeda Pharmaceuticals U.S.A., Inc. ("TPUSA"), distributed its shares of Ovid Therapeutics Inc.'s ("Ovid") common stock (the "Common Stock") to TPUSA. TPUSA is a direct subsidiary of Takeda Pharmaceutical Company Limited ("Takeda") (72.70%) and Takeda Pharmaceuticals International AG (27.30%). Takeda Pharmaceuticals International AG is a wholly owned subsidiary of Takeda. As such, Takeda is an indirect beneficial owner of the securities held by TPUSA, and its ownership remains unchanged from the Restructuring, including the 1,781,996 shares of Common Stock held directly by Takeda. No additional consideration was paid as part of the distribution of the Common Stock from Millennium to TPUSA.

F2 · ownership.nature: In connection with the Restructuring, Millennium also distributed 1,250 shares of Ovid's Series A convertible preferred stock (the "Preferred Stock") to TPUSA. Each share of Preferred Stock is convertible into 1,000 shares of Common Stock at any time at the election of TPUSA, subject to a conversion cap that prevents TPUSA from converting the Preferred Stock if TPUSA or Takeda would beneficially own more than 14.99% of the total number of shares of Common Stock issued and outstanding following such conversion. TPUSA may elect to increase this conversion cap to up to 19.99% of the total number of shares of Common Stock by providing 61 days' written notice to the issuer.

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July 01, 2022 Filed Jul 6, 2022 06:28 UTC Ovid Therapeutics Inc. OVID · Entity 5411 OtherCommon Stock 5,750,000 $0.00 $0.00
Disclosure

SEC source: 0001395064-22-000121 · wf-form4_165710328185839.xml · nonDerivative · entry 2

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

Takeda Pharmaceuticals U.S.A., Inc. · CIK 0001716229 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 5,750,000

F1 · kind: On July 1, 2022, the reporting persons effected an internal reorganization (the "Restructuring") whereby Millennium Pharmaceuticals, Inc. ("Millennium"), a wholly owned subsidiary of Takeda Pharmaceuticals U.S.A., Inc. ("TPUSA"), distributed its shares of Ovid Therapeutics Inc.'s ("Ovid") common stock (the "Common Stock") to TPUSA. TPUSA is a direct subsidiary of Takeda Pharmaceutical Company Limited ("Takeda") (72.70%) and Takeda Pharmaceuticals International AG (27.30%). Takeda Pharmaceuticals International AG is a wholly owned subsidiary of Takeda. As such, Takeda is an indirect beneficial owner of the securities held by TPUSA, and its ownership remains unchanged from the Restructuring, including the 1,781,996 shares of Common Stock held directly by Takeda. No additional consideration was paid as part of the distribution of the Common Stock from Millennium to TPUSA.

F1 · price: On July 1, 2022, the reporting persons effected an internal reorganization (the "Restructuring") whereby Millennium Pharmaceuticals, Inc. ("Millennium"), a wholly owned subsidiary of Takeda Pharmaceuticals U.S.A., Inc. ("TPUSA"), distributed its shares of Ovid Therapeutics Inc.'s ("Ovid") common stock (the "Common Stock") to TPUSA. TPUSA is a direct subsidiary of Takeda Pharmaceutical Company Limited ("Takeda") (72.70%) and Takeda Pharmaceuticals International AG (27.30%). Takeda Pharmaceuticals International AG is a wholly owned subsidiary of Takeda. As such, Takeda is an indirect beneficial owner of the securities held by TPUSA, and its ownership remains unchanged from the Restructuring, including the 1,781,996 shares of Common Stock held directly by Takeda. No additional consideration was paid as part of the distribution of the Common Stock from Millennium to TPUSA.

F1 · acquired: On July 1, 2022, the reporting persons effected an internal reorganization (the "Restructuring") whereby Millennium Pharmaceuticals, Inc. ("Millennium"), a wholly owned subsidiary of Takeda Pharmaceuticals U.S.A., Inc. ("TPUSA"), distributed its shares of Ovid Therapeutics Inc.'s ("Ovid") common stock (the "Common Stock") to TPUSA. TPUSA is a direct subsidiary of Takeda Pharmaceutical Company Limited ("Takeda") (72.70%) and Takeda Pharmaceuticals International AG (27.30%). Takeda Pharmaceuticals International AG is a wholly owned subsidiary of Takeda. As such, Takeda is an indirect beneficial owner of the securities held by TPUSA, and its ownership remains unchanged from the Restructuring, including the 1,781,996 shares of Common Stock held directly by Takeda. No additional consideration was paid as part of the distribution of the Common Stock from Millennium to TPUSA.

F1 · ownership.nature: On July 1, 2022, the reporting persons effected an internal reorganization (the "Restructuring") whereby Millennium Pharmaceuticals, Inc. ("Millennium"), a wholly owned subsidiary of Takeda Pharmaceuticals U.S.A., Inc. ("TPUSA"), distributed its shares of Ovid Therapeutics Inc.'s ("Ovid") common stock (the "Common Stock") to TPUSA. TPUSA is a direct subsidiary of Takeda Pharmaceutical Company Limited ("Takeda") (72.70%) and Takeda Pharmaceuticals International AG (27.30%). Takeda Pharmaceuticals International AG is a wholly owned subsidiary of Takeda. As such, Takeda is an indirect beneficial owner of the securities held by TPUSA, and its ownership remains unchanged from the Restructuring, including the 1,781,996 shares of Common Stock held directly by Takeda. No additional consideration was paid as part of the distribution of the Common Stock from Millennium to TPUSA.

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July 01, 2022 Filed Jul 6, 2022 06:28 UTC Ovid Therapeutics Inc. OVID · Entity 5411 OtherCommon Stock 5,750,000 $0.00 $0.00
Disclosure

SEC source: 0001395064-22-000121 · wf-form4_165710328185839.xml · nonDerivative · entry 1

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

Takeda Pharmaceuticals U.S.A., Inc. · CIK 0001716229 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 0

F1 · kind: On July 1, 2022, the reporting persons effected an internal reorganization (the "Restructuring") whereby Millennium Pharmaceuticals, Inc. ("Millennium"), a wholly owned subsidiary of Takeda Pharmaceuticals U.S.A., Inc. ("TPUSA"), distributed its shares of Ovid Therapeutics Inc.'s ("Ovid") common stock (the "Common Stock") to TPUSA. TPUSA is a direct subsidiary of Takeda Pharmaceutical Company Limited ("Takeda") (72.70%) and Takeda Pharmaceuticals International AG (27.30%). Takeda Pharmaceuticals International AG is a wholly owned subsidiary of Takeda. As such, Takeda is an indirect beneficial owner of the securities held by TPUSA, and its ownership remains unchanged from the Restructuring, including the 1,781,996 shares of Common Stock held directly by Takeda. No additional consideration was paid as part of the distribution of the Common Stock from Millennium to TPUSA.

F1 · price: On July 1, 2022, the reporting persons effected an internal reorganization (the "Restructuring") whereby Millennium Pharmaceuticals, Inc. ("Millennium"), a wholly owned subsidiary of Takeda Pharmaceuticals U.S.A., Inc. ("TPUSA"), distributed its shares of Ovid Therapeutics Inc.'s ("Ovid") common stock (the "Common Stock") to TPUSA. TPUSA is a direct subsidiary of Takeda Pharmaceutical Company Limited ("Takeda") (72.70%) and Takeda Pharmaceuticals International AG (27.30%). Takeda Pharmaceuticals International AG is a wholly owned subsidiary of Takeda. As such, Takeda is an indirect beneficial owner of the securities held by TPUSA, and its ownership remains unchanged from the Restructuring, including the 1,781,996 shares of Common Stock held directly by Takeda. No additional consideration was paid as part of the distribution of the Common Stock from Millennium to TPUSA.

F1 · acquired: On July 1, 2022, the reporting persons effected an internal reorganization (the "Restructuring") whereby Millennium Pharmaceuticals, Inc. ("Millennium"), a wholly owned subsidiary of Takeda Pharmaceuticals U.S.A., Inc. ("TPUSA"), distributed its shares of Ovid Therapeutics Inc.'s ("Ovid") common stock (the "Common Stock") to TPUSA. TPUSA is a direct subsidiary of Takeda Pharmaceutical Company Limited ("Takeda") (72.70%) and Takeda Pharmaceuticals International AG (27.30%). Takeda Pharmaceuticals International AG is a wholly owned subsidiary of Takeda. As such, Takeda is an indirect beneficial owner of the securities held by TPUSA, and its ownership remains unchanged from the Restructuring, including the 1,781,996 shares of Common Stock held directly by Takeda. No additional consideration was paid as part of the distribution of the Common Stock from Millennium to TPUSA.

F1 · ownership.nature: On July 1, 2022, the reporting persons effected an internal reorganization (the "Restructuring") whereby Millennium Pharmaceuticals, Inc. ("Millennium"), a wholly owned subsidiary of Takeda Pharmaceuticals U.S.A., Inc. ("TPUSA"), distributed its shares of Ovid Therapeutics Inc.'s ("Ovid") common stock (the "Common Stock") to TPUSA. TPUSA is a direct subsidiary of Takeda Pharmaceutical Company Limited ("Takeda") (72.70%) and Takeda Pharmaceuticals International AG (27.30%). Takeda Pharmaceuticals International AG is a wholly owned subsidiary of Takeda. As such, Takeda is an indirect beneficial owner of the securities held by TPUSA, and its ownership remains unchanged from the Restructuring, including the 1,781,996 shares of Common Stock held directly by Takeda. No additional consideration was paid as part of the distribution of the Common Stock from Millennium to TPUSA.

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July 01, 2022 Filed Jul 6, 2022 06:18 UTC Calithera Biosciences, Inc. CALA · Entity 113073 OtherSeries A Convertible Preferred Stock · Derivative 1,000,000 $0.00 Strike: $40.08 $0.00
Disclosure

SEC source: 0001395064-22-000119 · wf-form4_165710271082784.xml · derivative · entry 2

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

Takeda Ventures, Inc. · CIK 0001771657 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 1,000,000

Underlying: Common Stock · 857,844 shares

Expires not disclosed

F1 · derivative.exercise_price: The Series A preferred stock (the "Preferred Stock") of Calithera Biosciences, Inc. ("Calithera") is convertible at the option of holder into 857,844 shares of common stock of Calithera at a conversion price per share of $40.08, subject to price-based anti-dilution adjustments which, if triggered, would result in additional shares of Calithera common stock being issued upon conversion of the Preferred Stock. All amounts reflect a one-for-twenty (1:20) reverse stock split effected by Calithera on June 14, 2022.

F2 · derivative.exercise_price: If there is not a qualified financing event prior to April 18, 2023 (the "Outside Date"), the Preferred Stock will automatically convert into 857,844 shares of common stock of Calithera at a conversion price of $40.08, subject to price-based anti-dilution adjustments which, if triggered, would result in additional shares of Calithera common stock being issued upon conversion of the Preferred Stock. If there is a qualified financing event prior to the Outside Date, the Preferred Stock will automatically convert into 857,844 shares of common stock of Calithera at a conversion price of $40.08, subject to price-based anti-dilution adjustments which, if triggered, would result in additional shares of Calithera common stock being issued upon conversion of the Preferred Stock. In no event will the conversion of the Preferred Stock result in the issuance of greater than 19.99% shares of the then outstanding common stock of Calithera and/or 6,644,014 shares of common stock of Calithera.

F3 · kind: On July 1, 2022, the reporting persons effected an internal reorganization (the "Restructuring") whereby Millennium Pharmaceuticals, Inc. ("Millennium"), a wholly owned subsidiary of Takeda Pharmaceuticals U.S.A., Inc. ("TPUSA"), distributed the Preferred Stock to TPUSA. Immediately thereafter and in connection with the Restructuring, the Preferred Stock was contributed by TPUSA to its wholly owned subsidiary, Takeda Ventures, Inc. ("TVI"). TPUSA is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.30%). Takeda Pharmaceuticals International AG is a wholly owned subsidiary of Takeda Pharmaceutical Company Limited. As such, Takeda Pharmaceutical Company Limited is an indirect beneficial owner of the reported securities, and its ownership remains unchanged from the Restructuring. No additional consideration was paid as part of the distribution or contribution of the Preferred Stock.

F4 · derivative.expiration_date: The Series A convertible preferred stock has no expiration date.

F1 · derivative.underlying_shares: The Series A preferred stock (the "Preferred Stock") of Calithera Biosciences, Inc. ("Calithera") is convertible at the option of holder into 857,844 shares of common stock of Calithera at a conversion price per share of $40.08, subject to price-based anti-dilution adjustments which, if triggered, would result in additional shares of Calithera common stock being issued upon conversion of the Preferred Stock. All amounts reflect a one-for-twenty (1:20) reverse stock split effected by Calithera on June 14, 2022.

F2 · derivative.underlying_shares: If there is not a qualified financing event prior to April 18, 2023 (the "Outside Date"), the Preferred Stock will automatically convert into 857,844 shares of common stock of Calithera at a conversion price of $40.08, subject to price-based anti-dilution adjustments which, if triggered, would result in additional shares of Calithera common stock being issued upon conversion of the Preferred Stock. If there is a qualified financing event prior to the Outside Date, the Preferred Stock will automatically convert into 857,844 shares of common stock of Calithera at a conversion price of $40.08, subject to price-based anti-dilution adjustments which, if triggered, would result in additional shares of Calithera common stock being issued upon conversion of the Preferred Stock. In no event will the conversion of the Preferred Stock result in the issuance of greater than 19.99% shares of the then outstanding common stock of Calithera and/or 6,644,014 shares of common stock of Calithera.

F3 · ownership.nature: On July 1, 2022, the reporting persons effected an internal reorganization (the "Restructuring") whereby Millennium Pharmaceuticals, Inc. ("Millennium"), a wholly owned subsidiary of Takeda Pharmaceuticals U.S.A., Inc. ("TPUSA"), distributed the Preferred Stock to TPUSA. Immediately thereafter and in connection with the Restructuring, the Preferred Stock was contributed by TPUSA to its wholly owned subsidiary, Takeda Ventures, Inc. ("TVI"). TPUSA is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.30%). Takeda Pharmaceuticals International AG is a wholly owned subsidiary of Takeda Pharmaceutical Company Limited. As such, Takeda Pharmaceutical Company Limited is an indirect beneficial owner of the reported securities, and its ownership remains unchanged from the Restructuring. No additional consideration was paid as part of the distribution or contribution of the Preferred Stock.

Read SEC document
July 01, 2022 Filed Jul 6, 2022 06:18 UTC Calithera Biosciences, Inc. CALA · Entity 113073 OtherSeries A Convertible Preferred Stock · Derivative 1,000,000 $0.00 Strike: $40.08 $0.00
Disclosure

SEC source: 0001395064-22-000119 · wf-form4_165710271082784.xml · derivative · entry 1

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

Takeda Ventures, Inc. · CIK 0001771657 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 0

Underlying: Common Stock · 857,844 shares

Expires not disclosed

F1 · derivative.exercise_price: The Series A preferred stock (the "Preferred Stock") of Calithera Biosciences, Inc. ("Calithera") is convertible at the option of holder into 857,844 shares of common stock of Calithera at a conversion price per share of $40.08, subject to price-based anti-dilution adjustments which, if triggered, would result in additional shares of Calithera common stock being issued upon conversion of the Preferred Stock. All amounts reflect a one-for-twenty (1:20) reverse stock split effected by Calithera on June 14, 2022.

F2 · derivative.exercise_price: If there is not a qualified financing event prior to April 18, 2023 (the "Outside Date"), the Preferred Stock will automatically convert into 857,844 shares of common stock of Calithera at a conversion price of $40.08, subject to price-based anti-dilution adjustments which, if triggered, would result in additional shares of Calithera common stock being issued upon conversion of the Preferred Stock. If there is a qualified financing event prior to the Outside Date, the Preferred Stock will automatically convert into 857,844 shares of common stock of Calithera at a conversion price of $40.08, subject to price-based anti-dilution adjustments which, if triggered, would result in additional shares of Calithera common stock being issued upon conversion of the Preferred Stock. In no event will the conversion of the Preferred Stock result in the issuance of greater than 19.99% shares of the then outstanding common stock of Calithera and/or 6,644,014 shares of common stock of Calithera.

F3 · kind: On July 1, 2022, the reporting persons effected an internal reorganization (the "Restructuring") whereby Millennium Pharmaceuticals, Inc. ("Millennium"), a wholly owned subsidiary of Takeda Pharmaceuticals U.S.A., Inc. ("TPUSA"), distributed the Preferred Stock to TPUSA. Immediately thereafter and in connection with the Restructuring, the Preferred Stock was contributed by TPUSA to its wholly owned subsidiary, Takeda Ventures, Inc. ("TVI"). TPUSA is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.30%). Takeda Pharmaceuticals International AG is a wholly owned subsidiary of Takeda Pharmaceutical Company Limited. As such, Takeda Pharmaceutical Company Limited is an indirect beneficial owner of the reported securities, and its ownership remains unchanged from the Restructuring. No additional consideration was paid as part of the distribution or contribution of the Preferred Stock.

F4 · derivative.expiration_date: The Series A convertible preferred stock has no expiration date.

F1 · derivative.underlying_shares: The Series A preferred stock (the "Preferred Stock") of Calithera Biosciences, Inc. ("Calithera") is convertible at the option of holder into 857,844 shares of common stock of Calithera at a conversion price per share of $40.08, subject to price-based anti-dilution adjustments which, if triggered, would result in additional shares of Calithera common stock being issued upon conversion of the Preferred Stock. All amounts reflect a one-for-twenty (1:20) reverse stock split effected by Calithera on June 14, 2022.

F2 · derivative.underlying_shares: If there is not a qualified financing event prior to April 18, 2023 (the "Outside Date"), the Preferred Stock will automatically convert into 857,844 shares of common stock of Calithera at a conversion price of $40.08, subject to price-based anti-dilution adjustments which, if triggered, would result in additional shares of Calithera common stock being issued upon conversion of the Preferred Stock. If there is a qualified financing event prior to the Outside Date, the Preferred Stock will automatically convert into 857,844 shares of common stock of Calithera at a conversion price of $40.08, subject to price-based anti-dilution adjustments which, if triggered, would result in additional shares of Calithera common stock being issued upon conversion of the Preferred Stock. In no event will the conversion of the Preferred Stock result in the issuance of greater than 19.99% shares of the then outstanding common stock of Calithera and/or 6,644,014 shares of common stock of Calithera.

F3 · ownership.nature: On July 1, 2022, the reporting persons effected an internal reorganization (the "Restructuring") whereby Millennium Pharmaceuticals, Inc. ("Millennium"), a wholly owned subsidiary of Takeda Pharmaceuticals U.S.A., Inc. ("TPUSA"), distributed the Preferred Stock to TPUSA. Immediately thereafter and in connection with the Restructuring, the Preferred Stock was contributed by TPUSA to its wholly owned subsidiary, Takeda Ventures, Inc. ("TVI"). TPUSA is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.30%). Takeda Pharmaceuticals International AG is a wholly owned subsidiary of Takeda Pharmaceutical Company Limited. As such, Takeda Pharmaceutical Company Limited is an indirect beneficial owner of the reported securities, and its ownership remains unchanged from the Restructuring. No additional consideration was paid as part of the distribution or contribution of the Preferred Stock.

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March 14, 2022 Filed Mar 17, 2022 00:10 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 OtherWarrants · Derivative 7,359,304 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001395064-22-000040 · wf-form4_164747580130121.xml · derivative · entry 3

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,359,304 shares

Expires 2029-05-07

F1 · derivative.exercise_price: On March 14, 2022, the Reporting Person exercised a Warrant to purchase 7,359,304 shares of the Issuers common stock with an exercise price of $0.00004613 per share. The Reporting Person paid the exercise price on a cashless basis in accordance with the terms of such Warrants, resulting in the Issuer withholding a number of shares (or portion thereof) to satisfy the exercise price and issuing to the Reporting Person the remaining number of shares. The Issuer also paid the Reporting Person $2.52 in lieu of a fractional share.

F1 · shares: On March 14, 2022, the Reporting Person exercised a Warrant to purchase 7,359,304 shares of the Issuers common stock with an exercise price of $0.00004613 per share. The Reporting Person paid the exercise price on a cashless basis in accordance with the terms of such Warrants, resulting in the Issuer withholding a number of shares (or portion thereof) to satisfy the exercise price and issuing to the Reporting Person the remaining number of shares. The Issuer also paid the Reporting Person $2.52 in lieu of a fractional share.

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March 14, 2022 Filed Mar 17, 2022 00:10 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 SaleCommon Stock 18 $19.00 $342.00
Disclosure

SEC source: 0001395064-22-000040 · wf-form4_164747580130121.xml · nonDerivative · entry 2

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,459,286

F1 · shares: On March 14, 2022, the Reporting Person exercised a Warrant to purchase 7,359,304 shares of the Issuers common stock with an exercise price of $0.00004613 per share. The Reporting Person paid the exercise price on a cashless basis in accordance with the terms of such Warrants, resulting in the Issuer withholding a number of shares (or portion thereof) to satisfy the exercise price and issuing to the Reporting Person the remaining number of shares. The Issuer also paid the Reporting Person $2.52 in lieu of a fractional share.

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March 14, 2022 Filed Mar 17, 2022 00:10 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 OtherCommon Stock 7,359,304 $0.00 $0.00
Disclosure

SEC source: 0001395064-22-000040 · wf-form4_164747580130121.xml · nonDerivative · entry 1

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,459,304

F1 · shares: On March 14, 2022, the Reporting Person exercised a Warrant to purchase 7,359,304 shares of the Issuers common stock with an exercise price of $0.00004613 per share. The Reporting Person paid the exercise price on a cashless basis in accordance with the terms of such Warrants, resulting in the Issuer withholding a number of shares (or portion thereof) to satisfy the exercise price and issuing to the Reporting Person the remaining number of shares. The Issuer also paid the Reporting Person $2.52 in lieu of a fractional share.

F1 · price: On March 14, 2022, the Reporting Person exercised a Warrant to purchase 7,359,304 shares of the Issuers common stock with an exercise price of $0.00004613 per share. The Reporting Person paid the exercise price on a cashless basis in accordance with the terms of such Warrants, resulting in the Issuer withholding a number of shares (or portion thereof) to satisfy the exercise price and issuing to the Reporting Person the remaining number of shares. The Issuer also paid the Reporting Person $2.52 in lieu of a fractional share.

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December 08, 2021 Filed Dec 9, 2021 06:04 UTC Day One Biopharmaceuticals, Inc. DAWN · Entity 51180 SaleCommon Stock 110,338 $18.03 $1,989,394.14
Disclosure

SEC source: 0001395064-21-000248 · wf-form4_163904785164853.xml · nonDerivative · entry 3

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

Takeda Pharmaceuticals U.S.A., Inc. · CIK 0001716229 · 10% owner

MILLENNIUM PHARMACEUTICALS INC · CIK 0001002637 · 10% owner

Takeda Ventures, Inc. · CIK 0001771657 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 6,120,124

F6 · price: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $18.00 to $18.47. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

F2 · ownership.nature: This statement is being filed jointly by Takeda Pharmaceutical Company Limited, Takeda Pharmaceuticals U.S.A. Inc., Millennium Pharmaceuticals, Inc. and Takeda Ventures, Inc.

F3 · ownership.nature: Takeda Pharmaceutical Company Limiteds beneficial ownership of the reported securities is comprised of 6,062,900 shares of Common Stock held by Millennium Pharmaceuticals, Inc. and 57,224 shares of Common Stock held by Takeda Ventures, Inc. Millennium Pharmaceuticals, Inc. and Takeda Ventures, Inc. are each direct, wholly owned subsidiaries of Takeda Pharmaceuticals U.S.A. Inc., which is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.3%).

F4 · ownership.nature: Takeda Pharmaceuticals International AG is a direct, wholly owned subsidiary of Takeda Pharmaceutical Company Limited. Each of Takeda Pharmaceutical Company Limited and Takeda Pharmaceuticals U.S.A. Inc. may be deemed to share voting and dispositive power over the shares held by Takeda Ventures, Inc. and Millennium Pharmaceuticals, Inc. Each of Takeda Pharmaceutical Company Limited and Takeda Pharmaceuticals U.S.A. Inc. disclaims beneficial ownership of the shares held by Takeda Ventures, Inc. and Millennium Pharmaceuticals, Inc. except to the extent of their pecuniary interests therein.

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December 07, 2021 Filed Dec 9, 2021 06:04 UTC Day One Biopharmaceuticals, Inc. DAWN · Entity 51180 SaleCommon Stock 58,190 $19.50 $1,134,705.00
Disclosure

SEC source: 0001395064-21-000248 · wf-form4_163904785164853.xml · nonDerivative · entry 2

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

Takeda Pharmaceuticals U.S.A., Inc. · CIK 0001716229 · 10% owner

MILLENNIUM PHARMACEUTICALS INC · CIK 0001002637 · 10% owner

Takeda Ventures, Inc. · CIK 0001771657 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 6,230,462

F5 · price: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $19.00 to $19.88. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

F2 · ownership.nature: This statement is being filed jointly by Takeda Pharmaceutical Company Limited, Takeda Pharmaceuticals U.S.A. Inc., Millennium Pharmaceuticals, Inc. and Takeda Ventures, Inc.

F3 · ownership.nature: Takeda Pharmaceutical Company Limiteds beneficial ownership of the reported securities is comprised of 6,062,900 shares of Common Stock held by Millennium Pharmaceuticals, Inc. and 57,224 shares of Common Stock held by Takeda Ventures, Inc. Millennium Pharmaceuticals, Inc. and Takeda Ventures, Inc. are each direct, wholly owned subsidiaries of Takeda Pharmaceuticals U.S.A. Inc., which is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.3%).

F4 · ownership.nature: Takeda Pharmaceuticals International AG is a direct, wholly owned subsidiary of Takeda Pharmaceutical Company Limited. Each of Takeda Pharmaceutical Company Limited and Takeda Pharmaceuticals U.S.A. Inc. may be deemed to share voting and dispositive power over the shares held by Takeda Ventures, Inc. and Millennium Pharmaceuticals, Inc. Each of Takeda Pharmaceutical Company Limited and Takeda Pharmaceuticals U.S.A. Inc. disclaims beneficial ownership of the shares held by Takeda Ventures, Inc. and Millennium Pharmaceuticals, Inc. except to the extent of their pecuniary interests therein.

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December 07, 2021 Filed Dec 9, 2021 06:04 UTC Day One Biopharmaceuticals, Inc. DAWN · Entity 51180 SaleCommon Stock 128,745 $18.43 $2,372,770.35
Disclosure

SEC source: 0001395064-21-000248 · wf-form4_163904785164853.xml · nonDerivative · entry 1

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

Takeda Pharmaceuticals U.S.A., Inc. · CIK 0001716229 · 10% owner

MILLENNIUM PHARMACEUTICALS INC · CIK 0001002637 · 10% owner

Takeda Ventures, Inc. · CIK 0001771657 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 6,288,652

F1 · price: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $18.00 to $18.97. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

F2 · ownership.nature: This statement is being filed jointly by Takeda Pharmaceutical Company Limited, Takeda Pharmaceuticals U.S.A. Inc., Millennium Pharmaceuticals, Inc. and Takeda Ventures, Inc.

F3 · ownership.nature: Takeda Pharmaceutical Company Limiteds beneficial ownership of the reported securities is comprised of 6,062,900 shares of Common Stock held by Millennium Pharmaceuticals, Inc. and 57,224 shares of Common Stock held by Takeda Ventures, Inc. Millennium Pharmaceuticals, Inc. and Takeda Ventures, Inc. are each direct, wholly owned subsidiaries of Takeda Pharmaceuticals U.S.A. Inc., which is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.3%).

F4 · ownership.nature: Takeda Pharmaceuticals International AG is a direct, wholly owned subsidiary of Takeda Pharmaceutical Company Limited. Each of Takeda Pharmaceutical Company Limited and Takeda Pharmaceuticals U.S.A. Inc. may be deemed to share voting and dispositive power over the shares held by Takeda Ventures, Inc. and Millennium Pharmaceuticals, Inc. Each of Takeda Pharmaceutical Company Limited and Takeda Pharmaceuticals U.S.A. Inc. disclaims beneficial ownership of the shares held by Takeda Ventures, Inc. and Millennium Pharmaceuticals, Inc. except to the extent of their pecuniary interests therein.

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December 06, 2021 Filed Dec 7, 2021 06:01 UTC Day One Biopharmaceuticals, Inc. DAWN · Entity 51180 SaleCommon Stock 97,692 $18.05 $1,763,340.60
Disclosure

SEC source: 0001395064-21-000246 · wf-form4_163887488024165.xml · nonDerivative · entry 2

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

Takeda Pharmaceuticals U.S.A., Inc. · CIK 0001716229 · 10% owner

MILLENNIUM PHARMACEUTICALS INC · CIK 0001002637 · 10% owner

Takeda Ventures, Inc. · CIK 0001771657 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 6,417,397

F5 · price: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $18.00 to $18.27. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

F2 · ownership.nature: This statement is being filed jointly by Takeda Pharmaceutical Company Limited, Takeda Pharmaceuticals U.S.A. Inc., Millennium Pharmaceuticals, Inc. and Takeda Ventures, Inc.

F3 · ownership.nature: Takeda Pharmaceutical Company Limiteds beneficial ownership of the reported securities is comprised of 6,360,173 shares of Common Stock held by Millennium Pharmaceuticals, Inc. and 57,224 shares of Common Stock held by Takeda Ventures, Inc. Millennium Pharmaceuticals, Inc. and Takeda Ventures, Inc. are each direct, wholly owned subsidiaries of Takeda Pharmaceuticals U.S.A. Inc., which is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.3%).

F4 · ownership.nature: Takeda Pharmaceuticals International AG is a direct, wholly owned subsidiary of Takeda Pharmaceutical Company Limited. Each of Takeda Pharmaceutical Company Limited and Takeda Pharmaceuticals U.S.A. Inc. may be deemed to share voting and dispositive power over the shares held by Takeda Ventures, Inc. and Millennium Pharmaceuticals, Inc. Each of Takeda Pharmaceutical Company Limited and Takeda Pharmaceuticals U.S.A. Inc. disclaims beneficial ownership of the shares held by Takeda Ventures, Inc. and Millennium Pharmaceuticals, Inc. except to the extent of their pecuniary interests therein.

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December 03, 2021 Filed Dec 7, 2021 06:01 UTC Day One Biopharmaceuticals, Inc. DAWN · Entity 51180 SaleCommon Stock 12,517 $18.47 $231,188.99
Disclosure

SEC source: 0001395064-21-000246 · wf-form4_163887488024165.xml · nonDerivative · entry 1

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

Takeda Pharmaceuticals U.S.A., Inc. · CIK 0001716229 · 10% owner

MILLENNIUM PHARMACEUTICALS INC · CIK 0001002637 · 10% owner

Takeda Ventures, Inc. · CIK 0001771657 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 6,515,089

F1 · price: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $18.10 to $18.78. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

F2 · ownership.nature: This statement is being filed jointly by Takeda Pharmaceutical Company Limited, Takeda Pharmaceuticals U.S.A. Inc., Millennium Pharmaceuticals, Inc. and Takeda Ventures, Inc.

F3 · ownership.nature: Takeda Pharmaceutical Company Limiteds beneficial ownership of the reported securities is comprised of 6,360,173 shares of Common Stock held by Millennium Pharmaceuticals, Inc. and 57,224 shares of Common Stock held by Takeda Ventures, Inc. Millennium Pharmaceuticals, Inc. and Takeda Ventures, Inc. are each direct, wholly owned subsidiaries of Takeda Pharmaceuticals U.S.A. Inc., which is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.3%).

F4 · ownership.nature: Takeda Pharmaceuticals International AG is a direct, wholly owned subsidiary of Takeda Pharmaceutical Company Limited. Each of Takeda Pharmaceutical Company Limited and Takeda Pharmaceuticals U.S.A. Inc. may be deemed to share voting and dispositive power over the shares held by Takeda Ventures, Inc. and Millennium Pharmaceuticals, Inc. Each of Takeda Pharmaceutical Company Limited and Takeda Pharmaceuticals U.S.A. Inc. disclaims beneficial ownership of the shares held by Takeda Ventures, Inc. and Millennium Pharmaceuticals, Inc. except to the extent of their pecuniary interests therein.

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November 24, 2021 Filed Nov 29, 2021 17:16 UTC Day One Biopharmaceuticals, Inc. DAWN · Entity 51180 OtherCommon Stock 57,224 $0.00 $0.00
Disclosure

SEC source: 0001395064-21-000238 · wf-form4_163822415983916.xml · nonDerivative · entry 1

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

Takeda Pharmaceuticals U.S.A., Inc. · CIK 0001716229 · 10% owner

MILLENNIUM PHARMACEUTICALS INC · CIK 0001002637 · 10% owner

Takeda Ventures, Inc. · CIK 0001771657 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 6,527,606

F1 · kind: On November 24, 2021, Takeda Ventures, Inc., a subsidiary of Takeda Pharmaceutical Company Limited, received a distribution of 57,224 shares of Common Stock (the "distribution") from Atlas Venture Fund XI, L.P. Takeda Ventures, Inc. is a limited partner of Atlas Venture Fund XI, L.P. The distribution was a pro-rata distribution, and not a purchase or sale, without any consideration paid by Takeda Ventures, Inc.

F2 · ownership.nature: This statement is being filed jointly by Takeda Pharmaceutical Company Limited, Takeda Pharmaceuticals U.S.A. Inc., Millennium Pharmaceuticals, Inc. and Takeda Ventures, Inc.

F3 · ownership.nature: Takeda Pharmaceutical Company Limited's beneficial ownership of the reported securities is comprised of 6,470,382 shares of Common Stock held by Millennium Pharmaceuticals, Inc. and 57,224 shares of Common Stock held by Takeda Ventures, Inc. Millennium Pharmaceuticals, Inc. and Takeda Ventures, Inc. are each direct, wholly owned subsidiaries of Takeda Pharmaceuticals U.S.A. Inc., which is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.3%).

F4 · ownership.nature: Takeda Pharmaceuticals International AG is a direct, wholly owned subsidiary of Takeda Pharmaceutical Company Limited. Each of Takeda Pharmaceutical Company Limited and Takeda Pharmaceuticals U.S.A. Inc. may be deemed to share voting and dispositive power over the shares held by Takeda Ventures, Inc. and Millennium Pharmaceuticals, Inc. Each of Takeda Pharmaceutical Company Limited and Takeda Pharmaceuticals U.S.A. Inc. disclaims beneficial ownership of the shares held by Takeda Ventures, Inc. and Millennium Pharmaceuticals, Inc. except to the extent of their pecuniary interests therein.

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November 04, 2021 Filed Nov 8, 2021 11:04 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 OtherWarrants · Derivative 228,696 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001395064-21-000231 · wf-form4_163636942764423.xml · derivative · entry 4

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,359,304

Underlying: Common Stock · 228,696 shares

Expires 2029-05-07

F1 · derivative.exercise_price: On November 4, 2021, the Reporting Person exercised a Warrant to purchase 228,696 shares of the Issuers common stock with an exercise price of $0.00004613 per share. The Reporting Person paid the exercise price on a cashless basis in accordance with the terms of such Warrants, resulting in the Issuer withholding a number of shares (or portion thereof) to satisfy the exercise price and issuing to the Reporting Person the remaining number of shares. The Issuer also paid the Reporting Person $8.45 in lieu of a fractional share.

F1 · shares: On November 4, 2021, the Reporting Person exercised a Warrant to purchase 228,696 shares of the Issuers common stock with an exercise price of $0.00004613 per share. The Reporting Person paid the exercise price on a cashless basis in accordance with the terms of such Warrants, resulting in the Issuer withholding a number of shares (or portion thereof) to satisfy the exercise price and issuing to the Reporting Person the remaining number of shares. The Issuer also paid the Reporting Person $8.45 in lieu of a fractional share.

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November 04, 2021 Filed Nov 8, 2021 11:04 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 SaleCommon Stock 1,000,000 $20.85 $20,850,000.00
Disclosure

SEC source: 0001395064-21-000231 · wf-form4_163636942764423.xml · nonDerivative · entry 3

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

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November 04, 2021 Filed Nov 8, 2021 11:04 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 SaleCommon Stock 1 $19.00 $19.00
Disclosure

SEC source: 0001395064-21-000231 · wf-form4_163636942764423.xml · nonDerivative · entry 2

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,100,000

F1 · shares: On November 4, 2021, the Reporting Person exercised a Warrant to purchase 228,696 shares of the Issuers common stock with an exercise price of $0.00004613 per share. The Reporting Person paid the exercise price on a cashless basis in accordance with the terms of such Warrants, resulting in the Issuer withholding a number of shares (or portion thereof) to satisfy the exercise price and issuing to the Reporting Person the remaining number of shares. The Issuer also paid the Reporting Person $8.45 in lieu of a fractional share.

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November 04, 2021 Filed Nov 8, 2021 11:04 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 OtherCommon Stock 228,696 $0.00 $0.00
Disclosure

SEC source: 0001395064-21-000231 · wf-form4_163636942764423.xml · nonDerivative · entry 1

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,100,001

F1 · shares: On November 4, 2021, the Reporting Person exercised a Warrant to purchase 228,696 shares of the Issuers common stock with an exercise price of $0.00004613 per share. The Reporting Person paid the exercise price on a cashless basis in accordance with the terms of such Warrants, resulting in the Issuer withholding a number of shares (or portion thereof) to satisfy the exercise price and issuing to the Reporting Person the remaining number of shares. The Issuer also paid the Reporting Person $8.45 in lieu of a fractional share.

F1 · price: On November 4, 2021, the Reporting Person exercised a Warrant to purchase 228,696 shares of the Issuers common stock with an exercise price of $0.00004613 per share. The Reporting Person paid the exercise price on a cashless basis in accordance with the terms of such Warrants, resulting in the Issuer withholding a number of shares (or portion thereof) to satisfy the exercise price and issuing to the Reporting Person the remaining number of shares. The Issuer also paid the Reporting Person $8.45 in lieu of a fractional share.

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October 26, 2021 Filed Oct 27, 2021 00:31 UTC Xilio Therapeutics, Inc. XLO · Entity 7122 ConversionSeries C Preferred Stock · Derivative 226,941 $0.00 $0.00
Disclosure

SEC source: 0001395064-21-000216 · wf-form4_163529469670062.xml · derivative · entry 3

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

Takeda Ventures, Inc. · CIK 0001771657 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See explanation

Disclosed balance after: 0

Underlying: Common Stock · 226,941 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 Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of the Issuers Common Stock on a one-for-one basis immediately prior to the completion of the Issuers initial public offering for no additional consideration. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of the Issuers Common Stock on a one-for-one basis immediately prior to the completion of the Issuers initial public offering for no additional consideration. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of the Issuers Common Stock on a one-for-one basis immediately prior to the completion of the Issuers initial public offering for no additional consideration. The Preferred Stock had no expiration date.

F2 · ownership.nature: This statement is being filed jointly by Takeda Pharmaceutical Company Limited and Takeda Ventures, Inc.

F3 · ownership.nature: The reportable securities are owned directly by Takeda Ventures, Inc. Takeda Pharmaceutical Company Limiteds beneficial ownership of these securities is comprised of the reportable securities owned by Takeda Ventures, Inc. Takeda Ventures, Inc., is a direct, wholly owned subsidiary of Takeda Pharmaceuticals U.S.A. Inc., which is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.3%). Takeda Pharmaceuticals International AG is a direct, wholly owned subsidiary of Takeda Pharmaceutical Company Limited.

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October 26, 2021 Filed Oct 27, 2021 00:31 UTC Xilio Therapeutics, Inc. XLO · Entity 7122 ConversionSeries B Preferred Stock · Derivative 1,248,180 $0.00 $0.00
Disclosure

SEC source: 0001395064-21-000216 · wf-form4_163529469670062.xml · derivative · entry 2

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

Takeda Ventures, Inc. · CIK 0001771657 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See explanation

Disclosed balance after: 0

Underlying: Common Stock · 1,248,180 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 Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of the Issuers Common Stock on a one-for-one basis immediately prior to the completion of the Issuers initial public offering for no additional consideration. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of the Issuers Common Stock on a one-for-one basis immediately prior to the completion of the Issuers initial public offering for no additional consideration. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of the Issuers Common Stock on a one-for-one basis immediately prior to the completion of the Issuers initial public offering for no additional consideration. The Preferred Stock had no expiration date.

F2 · ownership.nature: This statement is being filed jointly by Takeda Pharmaceutical Company Limited and Takeda Ventures, Inc.

F3 · ownership.nature: The reportable securities are owned directly by Takeda Ventures, Inc. Takeda Pharmaceutical Company Limiteds beneficial ownership of these securities is comprised of the reportable securities owned by Takeda Ventures, Inc. Takeda Ventures, Inc., is a direct, wholly owned subsidiary of Takeda Pharmaceuticals U.S.A. Inc., which is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.3%). Takeda Pharmaceuticals International AG is a direct, wholly owned subsidiary of Takeda Pharmaceutical Company Limited.

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October 26, 2021 Filed Oct 27, 2021 00:31 UTC Xilio Therapeutics, Inc. XLO · Entity 7122 ConversionCommon Stock 1,475,121 Not disclosed Not disclosed
Disclosure

SEC source: 0001395064-21-000216 · wf-form4_163529469670062.xml · nonDerivative · entry 1

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

Takeda Ventures, Inc. · CIK 0001771657 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See explanation

Disclosed balance after: 1,475,121

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 share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of the Issuers Common Stock on a one-for-one basis immediately prior to the completion of the Issuers initial public offering for no additional consideration. The Preferred Stock had no expiration date.

F1 · ownership.nature: Each share of Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of the Issuers Common Stock on a one-for-one basis immediately prior to the completion of the Issuers initial public offering for no additional consideration. The Preferred Stock had no expiration date.

F2 · ownership.nature: This statement is being filed jointly by Takeda Pharmaceutical Company Limited and Takeda Ventures, Inc.

F3 · ownership.nature: The reportable securities are owned directly by Takeda Ventures, Inc. Takeda Pharmaceutical Company Limiteds beneficial ownership of these securities is comprised of the reportable securities owned by Takeda Ventures, Inc. Takeda Ventures, Inc., is a direct, wholly owned subsidiary of Takeda Pharmaceuticals U.S.A. Inc., which is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.3%). Takeda Pharmaceuticals International AG is a direct, wholly owned subsidiary of Takeda Pharmaceutical Company Limited.

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October 12, 2021 Filed Oct 15, 2021 18:40 UTC Theseus Pharmaceuticals, Inc. THRX · Entity 94301 ConversionSeries A Preferred Stock · Derivative 1,615,427 $0.00 $0.00
Disclosure

SEC source: 0001395064-21-000203 · wf-form4_163433760471855.xml · derivative · entry 2

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

ARIAD PHARMACEUTICALS INC · CIK 0000884731 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See explanation

Disclosed balance after: 0

Underlying: Common Stock · 1,615,427 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 Series A Preferred Stock converted into shares of the Issuers Common Stock at the close of the Issuers initial public offering without payment of additional consideration. The Series A Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each share of Series A Preferred Stock converted into shares of the Issuers Common Stock at the close of the Issuers initial public offering without payment of additional consideration. The Series A Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of Series A Preferred Stock converted into shares of the Issuers Common Stock at the close of the Issuers initial public offering without payment of additional consideration. The Series A Preferred Stock had no expiration date.

F2 · ownership.nature: This statement is being filed jointly by Takeda Pharmaceutical Company Limited and ARIAD Pharmaceuticals, Inc.

F3 · ownership.nature: The reportable securities are owned directly by ARIAD Pharmaceuticals, Inc. Takeda Pharmaceutical Company Limited's beneficial ownership of these securities is comprised of the reportable securities owned by ARIAD Pharmaceuticals, Inc. ARIAD Pharmaceuticals, Inc., is a direct, wholly owned subsidiary of Takeda Pharmaceuticals U.S.A. Inc., which is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.3%). Takeda Pharmaceuticals International AG is a direct, wholly owned subsidiary of Takeda Pharmaceutical Company Limited.

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October 12, 2021 Filed Oct 15, 2021 18:40 UTC Theseus Pharmaceuticals, Inc. THRX · Entity 94301 ConversionCommon Stock 1,615,427 Not disclosed Not disclosed
Disclosure

SEC source: 0001395064-21-000203 · wf-form4_163433760471855.xml · nonDerivative · entry 1

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

ARIAD PHARMACEUTICALS INC · CIK 0000884731 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See explanation

Disclosed balance after: 1,615,427

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 share of Series A Preferred Stock converted into shares of the Issuers Common Stock at the close of the Issuers initial public offering without payment of additional consideration. The Series A Preferred Stock had no expiration date.

F2 · ownership.nature: This statement is being filed jointly by Takeda Pharmaceutical Company Limited and ARIAD Pharmaceuticals, Inc.

F3 · ownership.nature: The reportable securities are owned directly by ARIAD Pharmaceuticals, Inc. Takeda Pharmaceutical Company Limited's beneficial ownership of these securities is comprised of the reportable securities owned by ARIAD Pharmaceuticals, Inc. ARIAD Pharmaceuticals, Inc., is a direct, wholly owned subsidiary of Takeda Pharmaceuticals U.S.A. Inc., which is a direct subsidiary of Takeda Pharmaceutical Company Limited (72.70%) and Takeda Pharmaceuticals International AG (27.3%). Takeda Pharmaceuticals International AG is a direct, wholly owned subsidiary of Takeda Pharmaceutical Company Limited.

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July 07, 2021 Filed Jul 9, 2021 10:09 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 SaleCommon Stock 2,609 $35.05 $91,445.45
Disclosure

SEC source: 0001395064-21-000153 · wf-form4_162582536885803.xml · nonDerivative · entry 1

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 871,305

F1 · kind: The sales reported herein were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 2, 2021.

F2 · price: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $35.00 to $35.26. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

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July 02, 2021 Filed Jul 6, 2021 10:10 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 SaleCommon Stock 100 $35.01 $3,501.00
Disclosure

SEC source: 0001395064-21-000148 · wf-form4_162556619453955.xml · nonDerivative · entry 2

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 873,914

F1 · kind: The sales reported herein were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 2, 2021.

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July 01, 2021 Filed Jul 6, 2021 10:10 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 SaleCommon Stock 8,226 $35.16 $289,226.16
Disclosure

SEC source: 0001395064-21-000148 · wf-form4_162556619453955.xml · nonDerivative · entry 1

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 874,014

F1 · kind: The sales reported herein were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 2, 2021.

F2 · price: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $35.00 to $35.50. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

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June 28, 2021 Filed Jun 29, 2021 10:44 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 SaleCommon Stock 370 $35.08 $12,979.60
Disclosure

SEC source: 0001395064-21-000142 · wf-form4_162496343440654.xml · nonDerivative · entry 3

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 882,240

F1 · kind: The sales reported herein were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 2, 2021.

F4 · price: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $35.00 to $35.21. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

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June 25, 2021 Filed Jun 29, 2021 10:44 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 SaleCommon Stock 1,250 $36.07 $45,087.50
Disclosure

SEC source: 0001395064-21-000142 · wf-form4_162496343440654.xml · nonDerivative · entry 2

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 882,610

F1 · kind: The sales reported herein were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 2, 2021.

F3 · price: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $36.00 to $36.16. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

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June 25, 2021 Filed Jun 29, 2021 10:44 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 SaleCommon Stock 22,881 $35.46 $811,360.26
Disclosure

SEC source: 0001395064-21-000142 · wf-form4_162496343440654.xml · nonDerivative · entry 1

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 883,860

F1 · kind: The sales reported herein were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 2, 2021.

F2 · price: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $35.00 to $35.97. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

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June 24, 2021 Filed Jun 25, 2021 11:27 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 SaleCommon Stock 10,848 $35.14 $381,198.72
Disclosure

SEC source: 0001395064-21-000125 · wf-form4_162462041149796.xml · nonDerivative · entry 2

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 906,741

F1 · kind: The sales reported herein were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 2, 2021.

F2 · price: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $35.00 to $35.50. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

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June 23, 2021 Filed Jun 25, 2021 11:27 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 SaleCommon Stock 200 $35.00 $7,000.00
Disclosure

SEC source: 0001395064-21-000125 · wf-form4_162462041149796.xml · nonDerivative · entry 1

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 917,589

F1 · kind: The sales reported herein were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 2, 2021.

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June 22, 2021 Filed Jun 23, 2021 10:15 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 SaleCommon Stock 100 $35.00 $3,500.00
Disclosure

SEC source: 0001395064-21-000121 · wf-form4_162444332161973.xml · nonDerivative · entry 2

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 917,789

F1 · kind: The sales reported herein were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 2, 2021.

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June 21, 2021 Filed Jun 23, 2021 10:15 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 SaleCommon Stock 9,294 $35.31 $328,171.14
Disclosure

SEC source: 0001395064-21-000121 · wf-form4_162444332161973.xml · nonDerivative · entry 1

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 917,889

F1 · kind: The sales reported herein were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 2, 2021.

F2 · price: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $35.00 to $35.87. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

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June 18, 2021 Filed Jun 21, 2021 10:10 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 SaleCommon Stock 5,398 $35.13 $189,631.74
Disclosure

SEC source: 0001395064-21-000119 · wf-form4_162427022767333.xml · nonDerivative · entry 2

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 927,183

F1 · kind: The sales reported herein were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 2, 2021.

F3 · price: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $35.00 to $35.29. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

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June 17, 2021 Filed Jun 21, 2021 10:10 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 SaleCommon Stock 3,305 $35.08 $115,939.40
Disclosure

SEC source: 0001395064-21-000119 · wf-form4_162427022767333.xml · nonDerivative · entry 1

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 932,581

F1 · kind: The sales reported herein were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 2, 2021.

F2 · price: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $35.00 to $35.35. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

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June 14, 2021 Filed Jun 16, 2021 10:06 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 SaleCommon Stock 2,826 $35.06 $99,079.56
Disclosure

SEC source: 0001395064-21-000113 · wf-form4_162383795840024.xml · nonDerivative · entry 1

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 935,886

F1 · kind: The sales reported herein were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 2, 2021.

F2 · price: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $35.00 to $35.40. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

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June 10, 2021 Filed Jun 11, 2021 10:09 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 SaleCommon Stock 2,102 $35.14 $73,864.28
Disclosure

SEC source: 0001395064-21-000111 · wf-form4_162340613411314.xml · nonDerivative · entry 2

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 938,712

F1 · kind: The sales reported herein were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 2, 2021.

F3 · price: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $35.00 to $35.43. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

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June 09, 2021 Filed Jun 11, 2021 10:09 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 SaleCommon Stock 1,191 $35.28 $42,018.48
Disclosure

SEC source: 0001395064-21-000111 · wf-form4_162340613411314.xml · nonDerivative · entry 1

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 940,814

F1 · kind: The sales reported herein were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 2, 2021.

F2 · price: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $35.00 to $35.53. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

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June 08, 2021 Filed Jun 9, 2021 10:41 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 SaleCommon Stock 100 $35.00 $3,500.00
Disclosure

SEC source: 0001395064-21-000109 · wf-form4_162323525319328.xml · nonDerivative · entry 2

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 942,005

F1 · kind: The sales reported herein were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 2, 2021.

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June 07, 2021 Filed Jun 9, 2021 10:41 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 SaleCommon Stock 2,264 $35.05 $79,353.20
Disclosure

SEC source: 0001395064-21-000109 · wf-form4_162323525319328.xml · nonDerivative · entry 1

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 942,105

F1 · kind: The sales reported herein were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 2, 2021.

F2 · price: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $35.00 to $35.30. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

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June 02, 2021 Filed Jun 4, 2021 10:23 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 SaleCommon Stock 4,300 $35.18 $151,274.00
Disclosure

SEC source: 0001395064-21-000107 · wf-form4_162280219725418.xml · nonDerivative · entry 1

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 944,369

F1 · kind: The sales reported herein were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 2, 2021.

F2 · price: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $35.04 to $35.87. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

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June 01, 2021 Filed Jun 2, 2021 10:08 UTC Phathom Pharmaceuticals, Inc. PHAT · Entity 5177 SaleCommon Stock 3,967 $36.20 $143,605.40
Disclosure

SEC source: 0001395064-21-000105 · wf-form4_162262847834335.xml · nonDerivative · entry 5

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 948,669

F1 · kind: The sales reported herein were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 2, 2021.

F6 · price: Reflects the weighted average sale price. This transaction was executed in multiple trades at prices ranging from $36.00 to $36.55. Information regarding the number of shares sold at each separate price will be provided upon request by the Staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer.

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