Heyman Richard A.

SEC source: 0001209191-21-033817 · doc4.xml · nonDerivative · entry 1

Heyman Richard A. · CIK 0001584759 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 223,885

F1 · kind: The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by RAHD Capital, LLC.

F2 · price: Represents the weighted average share price of an aggregate total of 3,215 shares sold in the price range of $25.00 to $25.83 by the Reporting Person. The Reporting Person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: The shares are held of record by RAHD Capital, LLC, and the Reporting Person has voting and investment power with respect to such shares.

SEC source: 0001209191-21-047970 · doc4.xml · derivative · entry 1

Heyman Richard A. · CIK 0001584759 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,781

Underlying: Common Stock · 5,781 shares

Expires 2031-05-11

F1 · derivative.exercise_date: Shares subject to the option vest in 36 equal monthly installments beginning on June 12, 2021.

SEC source: 0001209191-21-032510 · doc4.xml · nonDerivative · entry 1

Heyman Richard A. · CIK 0001584759 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 227,100

F1 · kind: The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by RAHD Capital, LLC.

F2 · ownership.nature: The shares are held of record by RAHD Capital, LLC, and the Reporting Person has voting and investment power with respect to such shares.

SEC source: 0001209191-21-029379 · doc4.xml · nonDerivative · entry 2

Heyman Richard A. · CIK 0001584759 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 227,200

F1 · kind: The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by RAHD Capital, LLC.

F2 · ownership.nature: The shares are held of record by RAHD Capital, LLC, and the Reporting Person has voting and investment power with respect to such shares.

SEC source: 0001209191-21-029379 · doc4.xml · nonDerivative · entry 1

Heyman Richard A. · CIK 0001584759 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 227,300

F1 · kind: The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by RAHD Capital, LLC.

F2 · ownership.nature: The shares are held of record by RAHD Capital, LLC, and the Reporting Person has voting and investment power with respect to such shares.

SEC source: 0001209191-21-025493 · doc4.xml · nonDerivative · entry 1

Heyman Richard A. · CIK 0001584759 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 227,400

F1 · kind: The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by RAHD Capital, LLC.

F2 · ownership.nature: The shares are held of record by RAHD Capital, LLC, and the Reporting Person has voting and investment power with respect to such shares.

SEC source: 0000899243-21-004743 · doc4.xml · nonDerivative · entry 1

Heyman Richard A. · CIK 0001584759 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,117

F1 · kind: The shares reported in this transaction represent Restricted Stock Units ("RSUs"). Each RSU represents the contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in full on February 1, 2022.

SEC source: 0000899243-20-035266 · doc4.xml · derivative · entry 2

Heyman Richard A. · CIK 0001584759 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,271

Underlying: Common Stock · 5,271 shares

Expires 2030-04-06

F1 · date: On August 22, 2020, the Issuer (formerly known as Proteostasis Therapeutics, Inc.) entered into an Agreement and Plan of Merger and Reorganization, as amended on November 6, 2020, with Pangolin Merger Sub, Inc. ("Merger Sub"), Yumanity, Inc. (formerly known as Yumanity Therapeutics, Inc.) and Yumanity Holdings, LLC ("Holdings"). On December 22, 2020, Merger Sub was merged with and into Yumanity, Inc., with Yumanity, Inc. surviving as a wholly-owned subsidiary of the Issuer (the "Merger"). Immediately prior to the consummation of the Merger, Holdings was merged with and into Yumanity, Inc., with Yumanity, Inc. as the surviving entity.

F4 · price: Received in the Merger in exchange for a stock option to acquire 25,000 shares of Yumanity, Inc. common stock for $1.72 per share.

F3 · derivative.exercise_date: The shares subject to the option vest in equal quarterly installments over four years, commencing on February 18, 2020.

SEC source: 0000899243-20-035266 · doc4.xml · nonDerivative · entry 1

Heyman Richard A. · CIK 0001584759 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,158

F1 · date: On August 22, 2020, the Issuer (formerly known as Proteostasis Therapeutics, Inc.) entered into an Agreement and Plan of Merger and Reorganization, as amended on November 6, 2020, with Pangolin Merger Sub, Inc. ("Merger Sub"), Yumanity, Inc. (formerly known as Yumanity Therapeutics, Inc.) and Yumanity Holdings, LLC ("Holdings"). On December 22, 2020, Merger Sub was merged with and into Yumanity, Inc., with Yumanity, Inc. surviving as a wholly-owned subsidiary of the Issuer (the "Merger"). Immediately prior to the consummation of the Merger, Holdings was merged with and into Yumanity, Inc., with Yumanity, Inc. as the surviving entity.

F2 · price: The shares were received in exchange for 29,207.20 shares of Yumanity, Inc. common stock in connection with the Merger.

SEC source: 0001209191-20-057925 · doc4.xml · derivative · entry 1

Heyman Richard A. · CIK 0001584759 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,332

Underlying: Common Stock · 45,332 shares

Expires 2030-06-22

F1 · derivative.exercise_date: The shares subject to the option vested upon (a) the closing of the Issuer's initial public offering which resulted in at least $100,000,000 in gross proceeds with a price per share equal to at least the lowest price per share in the range on the cover of the preliminary prospectus statement utilized on the road show in connection with such initial public offering, which closed effective as of September 29, 2020, and (b) Reporting Person being a contributing factor to the closing of such initial public offering, as determined solely by the Issuer's board of directors; such determination was approved by the Issuer's board of directors on November 11, 2020.

SEC source: 0001567619-20-012485 · doc1.xml · derivative · entry 1

Heyman Richard A. · CIK 0001584759 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2030-06-18

F1 · derivative.exercise_date: The option will vest and become exercisable on the earlier of the first anniversary of the date of grant or the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through the applicable vesting date.

SEC source: 0001209191-20-025984 · doc4.xml · derivative · entry 3

Heyman Richard A. · CIK 0001584759 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 62,500 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: The Series A Preferred Stock automatically converted into shares of Common Stock on a one to one basis immediately prior to the completion of the Issuer's initial public offering of Common Stock for no additional consideration and has no expiration date.

F1 · derivative.exercise_date: The Series A Preferred Stock automatically converted into shares of Common Stock on a one to one basis immediately prior to the completion of the Issuer's initial public offering of Common Stock for no additional consideration and has no expiration date.

F1 · derivative.expiration_date: The Series A Preferred Stock automatically converted into shares of Common Stock on a one to one basis immediately prior to the completion of the Issuer's initial public offering of Common Stock for no additional consideration and has no expiration date.

F2 · ownership.nature: The shares are held of record by RAHD Capital, LLC, and the Reporting Person has voting and investment power with respect to such shares.

SEC source: 0001209191-20-025984 · doc4.xml · nonDerivative · entry 2

Heyman Richard A. · CIK 0001584759 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 227,500

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: The Series A Preferred Stock automatically converted into shares of Common Stock on a one to one basis immediately prior to the completion of the Issuer's initial public offering of Common Stock for no additional consideration and has no expiration date.

F2 · ownership.nature: The shares are held of record by RAHD Capital, LLC, and the Reporting Person has voting and investment power with respect to such shares.

SEC source: 0001209191-20-025804 · doc4.xml · derivative · entry 1

Heyman Richard A. · CIK 0001584759 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,625

Underlying: Common Stock · 16,625 shares

Expires 2030-04-22

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest upon the earlier of (i) April 23, 2021 or (ii) the business day immediately preceding the Issuer's next annual stockholders' meeting.

SEC source: 0001567619-19-013755 · doc1.xml · derivative · entry 1

Heyman Richard A. · CIK 0001584759 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,570

Underlying: Common Stock · 8,570 shares

Expires 2029-06-19

F1 · derivative.exercise_date: The option will vest and become exercisable on the earlier of the first anniversary of the date of grant or the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through the applicable vesting date.