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person · Reporting owner

Machado Patrick

Disclosed activity across 18 companies

Tapewire entity
32934
SEC CIK
0001311210

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
ALUMIS INC.ALMS · Entity 4816DirectorJune 30, 2026July 02, 2026
Arcus Biosciences, Inc.RCUS · Entity 4104DirectorJune 11, 2026June 12, 2026
CHIMERIX INCCMRX · Entity 80651DirectorJune 09, 2023June 12, 2023
ROCKET PHARMACEUTICALS, INC.ITEK · Entity 5627DirectorJune 20, 2017June 21, 2017
Roivant Sciences Ltd.ROIV · Entity 3185DirectorOctober 01, 2021October 01, 2021
SCYNEXIS INCSCYX · Entity 7194DirectorJanuary 02, 2019January 04, 2019
Turnstone Biologics Corp.TSBX · Entity 76646DirectorJuly 20, 2023July 21, 2023
Xenon Pharmaceuticals Inc.XENE · Entity 2602DirectorJune 01, 2026June 04, 2026

Disclosed balances

About these balances

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

ALUMIS INC.

Report date June 30, 2026 · Filed July 02, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect3,553 Reported balance After 2026-06-30 transaction · row 1
1 source row

Row 1 · 2026-06-30 · Grant · Acquired 3,553 · Balance 3,553

F1: Represents shares of common stock issuable upon settlement of a restricted stock unit ("RSU") grant. The shares underlying this RSU vest on the first anniversary of the date of grant, provided that the shares will in any case be fully vested on the date of the Issuer's 2027 annual stockholder meeting, subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2024 Equity Incentive Plan (the "Plan")) through such vesting date and will vest in full upon a Change in Control (as defined in the Plan), subject to the Reporting Person's Continuous Service (as defined in the Plan) through such date.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $28.14 · Expires 2036-06-29Direct15,528 Reported balance After 2026-06-30 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2026-06-30 · Grant · Acquired 15,528 · Balance 15,528

F3: The shares underlying this option vest on the first anniversary of the date of grant, provided that the shares will in any case be fully vested on the date of the Issuer's 2027 annual stockholder meeting, subject to the Reporting Person's Continuous Service (as defined in the Plan) through such vesting date and will vest in full upon a Change in Control (as defined in the Plan), subject to the Reporting Person's Continuous Service (as defined in the Plan) through such date.

Common StockSEC Table I · non-derivativeIndirectBy Trust7,064 Reported balance Holding disclosure · report date 2026-06-30 · row 2 Holding and transaction disclosures are not merged.
1 source row

Row 2 · Balance 7,064

F2: Shares held directly by Patrick Machado Revocable Trust, Patrick Machado, TEE, for which the Reporting Person serves as trustee.

Filing footnotes · ownership attribution and instrument terms

F1: Represents shares of common stock issuable upon settlement of a restricted stock unit ("RSU") grant. The shares underlying this RSU vest on the first anniversary of the date of grant, provided that the shares will in any case be fully vested on the date of the Issuer's 2027 annual stockholder meeting, subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2024 Equity Incentive Plan (the "Plan")) through such vesting date and will vest in full upon a Change in Control (as defined in the Plan), subject to the Reporting Person's Continuous Service (as defined in the Plan) through such date.

F2: Shares held directly by Patrick Machado Revocable Trust, Patrick Machado, TEE, for which the Reporting Person serves as trustee.

F3: The shares underlying this option vest on the first anniversary of the date of grant, provided that the shares will in any case be fully vested on the date of the Issuer's 2027 annual stockholder meeting, subject to the Reporting Person's Continuous Service (as defined in the Plan) through such vesting date and will vest in full upon a Change in Control (as defined in the Plan), subject to the Reporting Person's Continuous Service (as defined in the Plan) through such date.

Arcus Biosciences, Inc.

Report date June 11, 2026 · Filed June 12, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect44,300 Reported balance After 2026-06-11 transaction · row 1
1 source row

Row 1 · 2026-06-11 · Grant · Acquired 5,700 · Balance 44,300

F1: Represents the grant of restricted stock units that vest in full on the earlier of June 11, 2027 or the next annual meeting of stockholders of the issuer. The RSUs will become fully vested in the event the Company is subject to a change in control.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $23.30 · Expires 2036-06-10Direct16,900 Reported balance After 2026-06-11 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2026-06-11 · Grant · Acquired 16,900 · Balance 16,900

F2: The option will vest in full on the earlier of June 11, 2027 or the next annual meeting of stockholders of the issuer. The option will become fully vested and exercisable in the event the Company is subject to a change in control.

Filing footnotes · ownership attribution and instrument terms

F1: Represents the grant of restricted stock units that vest in full on the earlier of June 11, 2027 or the next annual meeting of stockholders of the issuer. The RSUs will become fully vested in the event the Company is subject to a change in control.

F2: The option will vest in full on the earlier of June 11, 2027 or the next annual meeting of stockholders of the issuer. The option will become fully vested and exercisable in the event the Company is subject to a change in control.

CHIMERIX INC

Report date June 09, 2023 · Filed June 12, 2023

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.39 · Expires 2033-06-08Direct60,000 Reported balance After 2023-06-09 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2023-06-09 · Grant · Acquired 60,000 · Balance 60,000

F1: The shares subject to the option vest in a series of 12 equal monthly installments from the date of grant; provided, however, that the option shall become fully vested on the date that is the earlier of (i) the one-year anniversary of the date of grant and (ii) the date of the Company's 2024 annual stockholder meeting.

Filing footnotes · ownership attribution and instrument terms

F1: The shares subject to the option vest in a series of 12 equal monthly installments from the date of grant; provided, however, that the option shall become fully vested on the date that is the earlier of (i) the one-year anniversary of the date of grant and (ii) the date of the Company's 2024 annual stockholder meeting.

ROCKET PHARMACEUTICALS, INC.

Report date June 20, 2017 · Filed June 21, 2017

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.80 · Expires 2027-06-19Direct45,000 Reported balance After 2017-06-20 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2017-06-20 · Grant · Acquired 45,000 · Balance 45,000

F1: This stock option award was issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan. The option shall vest in equal quarterly installments at the end of each quarter following June 20, 2017, subject to continued service through such dates.

Filing footnotes · ownership attribution and instrument terms

F1: This stock option award was issued pursuant to Inotek Pharmaceuticals Corporation's 2014 Stock Option and Incentive Plan. The option shall vest in equal quarterly installments at the end of each quarter following June 20, 2017, subject to continued service through such dates.

Roivant Sciences Ltd.

Report date October 01, 2021 · Filed October 01, 2021

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.19 · Expires 2026-10-19DirectNot disclosed Reported balance Holding disclosure · report date 2021-10-01 · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · Balance Not disclosed

F1: Award of stock options to purchase Common Shares that is fully vested.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.43 · Expires 2027-12-19DirectNot disclosed Reported balance Holding disclosure · report date 2021-10-01 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · Balance Not disclosed

F1: Award of stock options to purchase Common Shares that is fully vested.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $11.19 · Expires 2029-01-21DirectNot disclosed Reported balance Holding disclosure · report date 2021-10-01 · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · Balance Not disclosed

F2: Award of stock options to purchase Common Shares with a vesting commencement date of November 30, 2018.

F5: Awards of stock options to purchase Common Shares vest and become exercisable (i) 33% on the first anniversary of the applicable vesting commencement date and (ii) in 24 equal monthly installments thereafter, subject to the reporting person's continuous service through each vesting date.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $12.68 · Expires 2030-01-19DirectNot disclosed Reported balance Holding disclosure · report date 2021-10-01 · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · Balance Not disclosed

F3: Award of stock options to purchase Common Shares with a vesting commencement date of November 30, 2019.

F5: Awards of stock options to purchase Common Shares vest and become exercisable (i) 33% on the first anniversary of the applicable vesting commencement date and (ii) in 24 equal monthly installments thereafter, subject to the reporting person's continuous service through each vesting date.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.00 · Expires 2031-05-01DirectNot disclosed Reported balance Holding disclosure · report date 2021-10-01 · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · Balance Not disclosed

F4: Award of stock options to purchase Common Shares with a vesting commencement date of December 27, 2019.

F5: Awards of stock options to purchase Common Shares vest and become exercisable (i) 33% on the first anniversary of the applicable vesting commencement date and (ii) in 24 equal monthly installments thereafter, subject to the reporting person's continuous service through each vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: Award of stock options to purchase Common Shares that is fully vested.

F2: Award of stock options to purchase Common Shares with a vesting commencement date of November 30, 2018.

F3: Award of stock options to purchase Common Shares with a vesting commencement date of November 30, 2019.

F4: Award of stock options to purchase Common Shares with a vesting commencement date of December 27, 2019.

F5: Awards of stock options to purchase Common Shares vest and become exercisable (i) 33% on the first anniversary of the applicable vesting commencement date and (ii) in 24 equal monthly installments thereafter, subject to the reporting person's continuous service through each vesting date.

SCYNEXIS INC

Report date January 02, 2019 · Filed January 04, 2019

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.54 · Expires 2029-01-01Direct22,500 Reported balance After 2019-01-02 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2019-01-02 · Grant · Acquired 22,500 · Balance 22,500

F1: One-hundred percent (100%) of the shares subject to the option vest on the first anniversary of the date of grant, provided that the non-employee director is providing continuous services on the applicable vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: One-hundred percent (100%) of the shares subject to the option vest on the first anniversary of the date of grant, provided that the non-employee director is providing continuous services on the applicable vesting date.

Turnstone Biologics Corp.

Report date July 20, 2023 · Filed July 21, 2023

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.87 · Expires 2028-08-06DirectNot disclosed Reported balance Holding disclosure · report date 2023-07-20 · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · Balance Not disclosed

F1: Immediately exercisable.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.30 · Expires 2031-02-21DirectNot disclosed Reported balance Holding disclosure · report date 2023-07-20 · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · Balance Not disclosed

F2: This option vested or shall vest in forty-eight (48) equal monthly installments commencing on March 22, 2021, subject to the Reporting Person's continuous service through each such vesting date.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.94 · Expires 2032-01-19DirectNot disclosed Reported balance Holding disclosure · report date 2023-07-20 · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · Balance Not disclosed

F3: One fourth (1/4th) of the shares subject to the option award vested on January 20, 2023, and the remaining shares subject to the option vested or shall vest in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person's continuous service through each such vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: Immediately exercisable.

F2: This option vested or shall vest in forty-eight (48) equal monthly installments commencing on March 22, 2021, subject to the Reporting Person's continuous service through each such vesting date.

F3: One fourth (1/4th) of the shares subject to the option award vested on January 20, 2023, and the remaining shares subject to the option vested or shall vest in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person's continuous service through each such vesting date.

Xenon Pharmaceuticals Inc.

Report date June 01, 2026 · Filed June 04, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common SharesSEC Table I · non-derivativeDirect2,645 Reported balance After 2026-06-01 transaction · row 1
1 source row

Row 1 · 2026-06-01 · Exercise / conversion · Acquired 2,645 · Balance 2,645

F1: Represents Common Shares earned and vested under a restricted share unit ("RSU") award granted to the reporting person on June 5, 2025. The RSU award vested 100% on June 1, 2026, the day before the date of the issuer's 2026 annual meeting of shareholders.

Restricted Share UnitsSEC Table II · derivative / convertible securityDirect0 Reported balance After 2026-06-01 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2026-06-01 · Exercise / conversion · Disposed 2,645 · Balance 0

F1: Represents Common Shares earned and vested under a restricted share unit ("RSU") award granted to the reporting person on June 5, 2025. The RSU award vested 100% on June 1, 2026, the day before the date of the issuer's 2026 annual meeting of shareholders.

Restricted Share UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00Direct1,593 Reported balance After 2026-06-03 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2026-06-03 · Grant · Acquired 1,593 · Balance 1,593

F3: Each RSU represents a contingent right to receive one Common Share vesting 100% on the earlier of (i) June 1, 2027 or (ii) the day before the date of the issuer's 2027 annual meeting of shareholders.

Share Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $53.46 · Expires 2036-06-02Direct10,507 Reported balance After 2026-06-03 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2026-06-03 · Grant · Acquired 10,507 · Balance 10,507

F2: Vesting 100% on the earlier of (i) June 1, 2027 or (ii) the day before the date of the issuer's 2027 annual meeting of shareholders.

Filing footnotes · ownership attribution and instrument terms

F1: Represents Common Shares earned and vested under a restricted share unit ("RSU") award granted to the reporting person on June 5, 2025. The RSU award vested 100% on June 1, 2026, the day before the date of the issuer's 2026 annual meeting of shareholders.

F2: Vesting 100% on the earlier of (i) June 1, 2027 or (ii) the day before the date of the issuer's 2027 annual meeting of shareholders.

F3: Each RSU represents a contingent right to receive one Common Share vesting 100% on the earlier of (i) June 1, 2027 or (ii) the day before the date of the issuer's 2027 annual meeting of shareholders.

Past disclosures · reporting ended (10)

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

ACELYRIN, Inc.

Report date May 21, 2025 · Filed May 23, 2025

Section 16 reporting ended · disclosed 2025-05-23. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeIndirectSee footnote0 Reported balance After 2025-05-21 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source row

Row 1 · 2025-05-21 · Disposition to issuer · Disposed 14,675 · Balance 0

F1: On February 6, 2025, ACELYRIN, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (as amended on April 20, 2025, the "Merger Agreement") with Alumis, Inc., a Delaware corporation ("Parent"), and Arrow Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, on May 21, 2025, Merger Sub merged with and into the Company (the "Merger"), with the Company surviving as a wholly owned subsidiary of Parent. At the effective time of the Merger (the "Effective Time"), each share of common stock, par value $0.00001 per share, of the Company issued and outstanding was converted into the right to receive 0.4814 (the "Exchange Ratio") shares of voting common stock of Parent, par value $0.0001 per share ("Parent Common Stock"), and cash in lieu of any fractional shares.

F2: Shares held directly by Patrick Machado Revocable Trust, Patrick Machado, TEE, for which the Reporting Person serves as trustee.

Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.46 · Expires 2034-06-06Direct0 Reported balance After 2025-05-21 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2025-05-21 · Disposition to issuer · Disposed 92,158 · Balance 0

F4: Pursuant to the Merger Agreement, at the Effective Time each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per share exercise price of $18.00 or less was assumed by Parent and converted into an option to purchase a number of shares of Parent Common Stock equal to (i) the number of shares subject to the option immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, which stock option shall have an exercise price equal to (i) the per share exercise price for shares subject to the corresponding Company stock option immediately prior to the Effective Time, divided by (ii) the Exchange Ratio, rounded up to the nearest whole cent.

F3: All of the shares subject to the option vest on the earlier of (i) June 7, 2025, or (ii) the day immediately preceding the next annual meeting of stockholders following the grant date of the option, subject to the Reporting Person's continued service as a director through the vesting date.

Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $18.00 · Expires 2033-05-03Direct0 Reported balance After 2025-05-21 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2025-05-21 · Disposition to issuer · Disposed 23,243 · Balance 0

F4: Pursuant to the Merger Agreement, at the Effective Time each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per share exercise price of $18.00 or less was assumed by Parent and converted into an option to purchase a number of shares of Parent Common Stock equal to (i) the number of shares subject to the option immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, which stock option shall have an exercise price equal to (i) the per share exercise price for shares subject to the corresponding Company stock option immediately prior to the Effective Time, divided by (ii) the Exchange Ratio, rounded up to the nearest whole cent.

F5: 1/36 of the shares subject to the option vested on June 4, 2023, and 1/36 of the shares subject to the option vest in equal monthly installments thereafter, subject to the Reporting Person's continued service.

Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.88 · Expires 2032-11-20Direct0 Reported balance After 2025-05-21 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2025-05-21 · Disposition to issuer · Disposed 28,675 · Balance 0

F4: Pursuant to the Merger Agreement, at the Effective Time each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per share exercise price of $18.00 or less was assumed by Parent and converted into an option to purchase a number of shares of Parent Common Stock equal to (i) the number of shares subject to the option immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, which stock option shall have an exercise price equal to (i) the per share exercise price for shares subject to the corresponding Company stock option immediately prior to the Effective Time, divided by (ii) the Exchange Ratio, rounded up to the nearest whole cent.

F6: 1/48 of the shares subject to the option vested on December 17, 2022 and 1/48 of the shares subject to the option vests in equal monthly installments thereafter, subject to the Reporting Person's continued service.

Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.88 · Expires 2032-11-20Direct0 Reported balance After 2025-05-21 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2025-05-21 · Disposition to issuer · Disposed 86,206 · Balance 0

F4: Pursuant to the Merger Agreement, at the Effective Time each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per share exercise price of $18.00 or less was assumed by Parent and converted into an option to purchase a number of shares of Parent Common Stock equal to (i) the number of shares subject to the option immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, which stock option shall have an exercise price equal to (i) the per share exercise price for shares subject to the corresponding Company stock option immediately prior to the Effective Time, divided by (ii) the Exchange Ratio, rounded up to the nearest whole cent.

F7: 1/48 of the shares subject to the option vested on November 1, 2022 and 1/48 of the shares subject to the option vests in equal monthly installments thereafter, subject to the Reporting Person's continued service.

Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.77 · Expires 2031-07-25Direct0 Reported balance After 2025-05-21 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2025-05-21 · Disposition to issuer · Disposed 40,567 · Balance 0

F4: Pursuant to the Merger Agreement, at the Effective Time each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per share exercise price of $18.00 or less was assumed by Parent and converted into an option to purchase a number of shares of Parent Common Stock equal to (i) the number of shares subject to the option immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, which stock option shall have an exercise price equal to (i) the per share exercise price for shares subject to the corresponding Company stock option immediately prior to the Effective Time, divided by (ii) the Exchange Ratio, rounded up to the nearest whole cent.

F8: 1/48 of the shares subject to the option vested on May 19, 2021 and 1/48 of the shares subject to the option vests in equal monthly installments thereafter, subject to the Reporting Person's continued service.

Filing footnotes · ownership attribution and instrument terms

F1: On February 6, 2025, ACELYRIN, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (as amended on April 20, 2025, the "Merger Agreement") with Alumis, Inc., a Delaware corporation ("Parent"), and Arrow Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, on May 21, 2025, Merger Sub merged with and into the Company (the "Merger"), with the Company surviving as a wholly owned subsidiary of Parent. At the effective time of the Merger (the "Effective Time"), each share of common stock, par value $0.00001 per share, of the Company issued and outstanding was converted into the right to receive 0.4814 (the "Exchange Ratio") shares of voting common stock of Parent, par value $0.0001 per share ("Parent Common Stock"), and cash in lieu of any fractional shares.

F2: Shares held directly by Patrick Machado Revocable Trust, Patrick Machado, TEE, for which the Reporting Person serves as trustee.

F3: All of the shares subject to the option vest on the earlier of (i) June 7, 2025, or (ii) the day immediately preceding the next annual meeting of stockholders following the grant date of the option, subject to the Reporting Person's continued service as a director through the vesting date.

F4: Pursuant to the Merger Agreement, at the Effective Time each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per share exercise price of $18.00 or less was assumed by Parent and converted into an option to purchase a number of shares of Parent Common Stock equal to (i) the number of shares subject to the option immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, which stock option shall have an exercise price equal to (i) the per share exercise price for shares subject to the corresponding Company stock option immediately prior to the Effective Time, divided by (ii) the Exchange Ratio, rounded up to the nearest whole cent.

F5: 1/36 of the shares subject to the option vested on June 4, 2023, and 1/36 of the shares subject to the option vest in equal monthly installments thereafter, subject to the Reporting Person's continued service.

F6: 1/48 of the shares subject to the option vested on December 17, 2022 and 1/48 of the shares subject to the option vests in equal monthly installments thereafter, subject to the Reporting Person's continued service.

F7: 1/48 of the shares subject to the option vested on November 1, 2022 and 1/48 of the shares subject to the option vests in equal monthly installments thereafter, subject to the Reporting Person's continued service.

F8: 1/48 of the shares subject to the option vested on May 19, 2021 and 1/48 of the shares subject to the option vests in equal monthly installments thereafter, subject to the Reporting Person's continued service.

Adverum Biotechnologies, Inc.

Report date December 09, 2025 · Filed December 10, 2025

Section 16 reporting ended · disclosed 2025-12-10. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2025-12-09 transaction · row 1
1 source row

Row 1 · 2025-12-09 · Other · Disposed 8,818 · Balance 0

F1: In connection with the terms of an Agreement and Plan of Merger, dated as of October 24, 2025 (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Parent's direct wholly owned subsidiary, Flying Tigers Acquisition Corporation ("Purchaser"), Purchaser completed a tender offer for shares of the Issuer's Common Stock. In exchange for each share, tendering stockholders received: (i) $3.56 per share in cash, without interest and less any applicable tax withholding (the "Cash Consideration"); plus (ii) one non-tradable contingent value right (each, a "CVR"), which represents the contractual right to receive up to two contingent cash payments of up to an aggregate of $8.91 per CVR, net to the stockholder in cash,

F2: (continued from footnote 1) without interest and less any applicable tax withholding, upon the achievement of both specified milestones in accordance with the terms and subject to the conditions of a contingent value rights agreement (the "CVR Agreement") with Computershare Inc. and its affiliate, Computershare Trust Company, N.A, as the rights agent. After completion of the tender offer, pursuant to the terms of the Merger Agreement, Purchaser merged with and into the Issuer (the "Merger"), effective as of December 9, 2025, with the Issuer continuing as the surviving entity and a wholly owned subsidiary of Parent (the "Effective Time").

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $64.00Direct0 Reported balance After 2025-12-09 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2025-12-09 · Disposition to issuer · Disposed 1,000 · Balance 0

F3: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $27.50Direct0 Reported balance After 2025-12-09 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2025-12-09 · Disposition to issuer · Disposed 6,476 · Balance 0

F3: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $27.50Direct0 Reported balance After 2025-12-09 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2025-12-09 · Disposition to issuer · Disposed 3,360 · Balance 0

F3: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $62.50Direct0 Reported balance After 2025-12-09 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2025-12-09 · Disposition to issuer · Disposed 3,500 · Balance 0

F3: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $134.10Direct0 Reported balance After 2025-12-09 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2025-12-09 · Disposition to issuer · Disposed 4,500 · Balance 0

F3: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $115.20Direct0 Reported balance After 2025-12-09 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2025-12-09 · Disposition to issuer · Disposed 1,500 · Balance 0

F3: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $256.40Direct0 Reported balance After 2025-12-09 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2025-12-09 · Disposition to issuer · Disposed 3,000 · Balance 0

F3: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $37.00Direct0 Reported balance After 2025-12-09 transaction · row 9 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 9 · 2025-12-09 · Disposition to issuer · Disposed 5,250 · Balance 0

F3: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.90Direct0 Reported balance After 2025-12-09 transaction · row 10 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 10 · 2025-12-09 · Disposition to issuer · Disposed 5,250 · Balance 0

F3: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.60Direct0 Reported balance After 2025-12-09 transaction · row 11 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 11 · 2025-12-09 · Disposition to issuer · Disposed 5,250 · Balance 0

F3: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.32Direct0 Reported balance After 2025-12-09 transaction · row 12 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 12 · 2025-12-09 · Disposition to issuer · Disposed 13,820 · Balance 0

F3: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.32Direct0 Reported balance After 2025-12-09 transaction · row 13 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 13 · 2025-12-09 · Disposition to issuer · Disposed 13,590 · Balance 0

F4: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding stock option granted under a Company Equity Plan having an exercise price less than the Cash Consideration (each such option, a "Cash-Out Stock Option") that was outstanding immediately prior to the Effective Time, whether or not vested, was automatically cancelled, and in exchange for such cancellation, the holder of such Cash-Out Stock Option received (i) an amount in cash, without interest and less any applicable tax withholdings, equal to the product of (a) the excess, if any, of the Cash Consideration over the applicable exercise price per share underlying such Cash-Out Stock Option multiplied by (b) the total number of shares subject to such Cash-Out Stock Option and (ii) one CVR for each share subject to such Cash-Out Stock Option (without regard to vesting).

Filing footnotes · ownership attribution and instrument terms

F1: In connection with the terms of an Agreement and Plan of Merger, dated as of October 24, 2025 (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Parent's direct wholly owned subsidiary, Flying Tigers Acquisition Corporation ("Purchaser"), Purchaser completed a tender offer for shares of the Issuer's Common Stock. In exchange for each share, tendering stockholders received: (i) $3.56 per share in cash, without interest and less any applicable tax withholding (the "Cash Consideration"); plus (ii) one non-tradable contingent value right (each, a "CVR"), which represents the contractual right to receive up to two contingent cash payments of up to an aggregate of $8.91 per CVR, net to the stockholder in cash,

F2: (continued from footnote 1) without interest and less any applicable tax withholding, upon the achievement of both specified milestones in accordance with the terms and subject to the conditions of a contingent value rights agreement (the "CVR Agreement") with Computershare Inc. and its affiliate, Computershare Trust Company, N.A, as the rights agent. After completion of the tender offer, pursuant to the terms of the Merger Agreement, Purchaser merged with and into the Issuer (the "Merger"), effective as of December 9, 2025, with the Issuer continuing as the surviving entity and a wholly owned subsidiary of Parent (the "Effective Time").

F3: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

F4: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding stock option granted under a Company Equity Plan having an exercise price less than the Cash Consideration (each such option, a "Cash-Out Stock Option") that was outstanding immediately prior to the Effective Time, whether or not vested, was automatically cancelled, and in exchange for such cancellation, the holder of such Cash-Out Stock Option received (i) an amount in cash, without interest and less any applicable tax withholdings, equal to the product of (a) the excess, if any, of the Cash Consideration over the applicable exercise price per share underlying such Cash-Out Stock Option multiplied by (b) the total number of shares subject to such Cash-Out Stock Option and (ii) one CVR for each share subject to such Cash-Out Stock Option (without regard to vesting).

Arbutus Biopharma Corp

Report date July 10, 2019 · Filed July 16, 2019

Section 16 reporting ended · disclosed 2019-07-16. Current position is not established by this disclosure.

No balance rows disclosed in this filing.

ENDOCYTE INC

Report date December 21, 2018 · Filed December 21, 2018

Section 16 reporting ended · disclosed 2018-12-21. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2018-12-21 transaction · row 1 Sequence does not reconcile; account continuity is unresolved.
1 source row

Row 1 · 2018-12-21 · Disposition to issuer · Disposed 1,250 · Balance 0

F1: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2018-12-21 transaction · row 2 Sequence does not reconcile; account continuity is unresolved.
1 source row

Row 2 · 2018-12-21 · Disposition to issuer · Disposed 2,500 · Balance 0

F2: This restricted stock unit ("RSU") award provided for vesting and settlement 1/3 on the business day before each of the Company's three annual stockholder meetings following February 27, 2018 in the form of one share of Company common stock for each RSU. Pursuant to the Merger Agreement, at the Effective Time, each RSU outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to $24.00, multiplied by the number of shares of Company common stock subject to such RSU, less any applicable withholding taxes.

Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2018-12-21 transaction · row 3 Sequence does not reconcile; account continuity is unresolved.
1 source row

Row 3 · 2018-12-21 · Disposition to issuer · Disposed 3,300 · Balance 0

F3: This RSU award provided for vesting and settlement 100% on the business day prior to the Company's annual stockholder meeting following May 3, 2018 in the form of one share of Company common stock for each RSU. Pursuant to the Merger Agreement, at the Effective Time, each RSU outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to $24.00, multiplied by the number of shares of Company common stock subject to such RSU, less any applicable withholding taxes.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.20 · Expires 2028-02-27Direct0 Reported balance After 2018-12-21 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2018-12-21 · Disposition to issuer · Disposed 22,500 · Balance 0

F4: This Company stock option was scheduled to vest 1/3 on the business day before each of the Company's three annual stockholder meetings following February 27, 2018. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.81 · Expires 2028-05-03Direct0 Reported balance After 2018-12-21 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2018-12-21 · Disposition to issuer · Disposed 19,500 · Balance 0

F5: This Company stock option was scheduled to vest 100% on the business day prior to the Company's annual stockholder meeting following May 3, 2018. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

F2: This restricted stock unit ("RSU") award provided for vesting and settlement 1/3 on the business day before each of the Company's three annual stockholder meetings following February 27, 2018 in the form of one share of Company common stock for each RSU. Pursuant to the Merger Agreement, at the Effective Time, each RSU outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to $24.00, multiplied by the number of shares of Company common stock subject to such RSU, less any applicable withholding taxes.

F3: This RSU award provided for vesting and settlement 100% on the business day prior to the Company's annual stockholder meeting following May 3, 2018 in the form of one share of Company common stock for each RSU. Pursuant to the Merger Agreement, at the Effective Time, each RSU outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to $24.00, multiplied by the number of shares of Company common stock subject to such RSU, less any applicable withholding taxes.

F4: This Company stock option was scheduled to vest 1/3 on the business day before each of the Company's three annual stockholder meetings following February 27, 2018. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

F5: This Company stock option was scheduled to vest 100% on the business day prior to the Company's annual stockholder meeting following May 3, 2018. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

MEDIVATION, INC.

Report date September 28, 2016 · Filed September 30, 2016

Section 16 reporting ended · disclosed 2016-09-30. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2016-09-28 transaction · row 1
1 source row

Row 1 · 2016-09-28 · Other · Disposed 70,792 · Balance 0

F1: Disposed of pursuant to an Agreement and Plan of Merger (the "Merger Agreement"), dated August 20, 2016, among the Issuer, Pfizer Inc., a Delaware corporation ("Parent"), and Montreal, Inc., a Delaware corporation and a wholly-owned subsidiary of Parent ("Purchaser"), in exchange for a cash consideration of $81.50 per share (without interest) subject to any required withholding of taxes. Pursuant to the Merger Agreement, the Purchaser merged with and into the Issuer, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). In connection with the Merger, Purchaser offered to purchase all of the outstanding shares of common stock, par value $0.01 per share of the Issuer, at a price of $81.50 per share, net to the seller in cash (without interest) but subject to any required withholding of taxes, upon the terms and conditions set forth in the offer to purchase dated August 30, 2016, and in the related letter of transmittal.

F2: Includes 2,972 unvested shares subject to a restricted stock award.

Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.64 · Expires 2019-12-15Direct0 Reported balance After 2016-09-28 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2016-09-28 · Disposition to issuer · Disposed 264,000 · Balance 0

F3: This option was cancelled in the Merger in exchange for a cash payment equal to $81.50 per share (without interest) subject to any required withholding of taxes minus the per share exercise price of the option. In connection with the Merger, vesting of the option was accelerated and the option became fully vested and exercisable effective immediately prior to the effective time of the Merger.

Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.37 · Expires 2020-12-15Direct0 Reported balance After 2016-09-28 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2016-09-28 · Disposition to issuer · Disposed 33,336 · Balance 0

F3: This option was cancelled in the Merger in exchange for a cash payment equal to $81.50 per share (without interest) subject to any required withholding of taxes minus the per share exercise price of the option. In connection with the Merger, vesting of the option was accelerated and the option became fully vested and exercisable effective immediately prior to the effective time of the Merger.

Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $27.43 · Expires 2022-12-17Direct0 Reported balance After 2016-09-28 transaction · row 4 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 4 · 2016-09-28 · Disposition to issuer · Disposed 90,000 · Balance 0

F3: This option was cancelled in the Merger in exchange for a cash payment equal to $81.50 per share (without interest) subject to any required withholding of taxes minus the per share exercise price of the option. In connection with the Merger, vesting of the option was accelerated and the option became fully vested and exercisable effective immediately prior to the effective time of the Merger.

Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $38.89 · Expires 2024-06-27Direct0 Reported balance After 2016-09-28 transaction · row 5 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 5 · 2016-09-28 · Disposition to issuer · Disposed 9,584 · Balance 0

F3: This option was cancelled in the Merger in exchange for a cash payment equal to $81.50 per share (without interest) subject to any required withholding of taxes minus the per share exercise price of the option. In connection with the Merger, vesting of the option was accelerated and the option became fully vested and exercisable effective immediately prior to the effective time of the Merger.

Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $55.45 · Expires 2025-06-16Direct0 Reported balance After 2016-09-28 transaction · row 6 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 6 · 2016-09-28 · Disposition to issuer · Disposed 6,284 · Balance 0

F3: This option was cancelled in the Merger in exchange for a cash payment equal to $81.50 per share (without interest) subject to any required withholding of taxes minus the per share exercise price of the option. In connection with the Merger, vesting of the option was accelerated and the option became fully vested and exercisable effective immediately prior to the effective time of the Merger.

Non-Qualified Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $58.89 · Expires 2026-06-22Direct0 Reported balance After 2016-09-28 transaction · row 7 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 7 · 2016-09-28 · Disposition to issuer · Disposed 6,228 · Balance 0

F3: This option was cancelled in the Merger in exchange for a cash payment equal to $81.50 per share (without interest) subject to any required withholding of taxes minus the per share exercise price of the option. In connection with the Merger, vesting of the option was accelerated and the option became fully vested and exercisable effective immediately prior to the effective time of the Merger.

Stock Appreciation RightsSEC Table II · derivative / convertible security · Conversion / exercise price $12.20 · Expires 2021-12-09Direct0 Reported balance After 2016-09-28 transaction · row 8 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 8 · 2016-09-28 · Disposition to issuer · Disposed 222,800 · Balance 0

F4: This stock appreciation right (the "SAR") was cancelled in the Merger in exchange for a cash payment equal to $81.50 per share (without interest) subject to any required withholding of taxes minus the per share base price of the SAR.

Filing footnotes · ownership attribution and instrument terms

F1: Disposed of pursuant to an Agreement and Plan of Merger (the "Merger Agreement"), dated August 20, 2016, among the Issuer, Pfizer Inc., a Delaware corporation ("Parent"), and Montreal, Inc., a Delaware corporation and a wholly-owned subsidiary of Parent ("Purchaser"), in exchange for a cash consideration of $81.50 per share (without interest) subject to any required withholding of taxes. Pursuant to the Merger Agreement, the Purchaser merged with and into the Issuer, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger"). In connection with the Merger, Purchaser offered to purchase all of the outstanding shares of common stock, par value $0.01 per share of the Issuer, at a price of $81.50 per share, net to the seller in cash (without interest) but subject to any required withholding of taxes, upon the terms and conditions set forth in the offer to purchase dated August 30, 2016, and in the related letter of transmittal.

F2: Includes 2,972 unvested shares subject to a restricted stock award.

F3: This option was cancelled in the Merger in exchange for a cash payment equal to $81.50 per share (without interest) subject to any required withholding of taxes minus the per share exercise price of the option. In connection with the Merger, vesting of the option was accelerated and the option became fully vested and exercisable effective immediately prior to the effective time of the Merger.

F4: This stock appreciation right (the "SAR") was cancelled in the Merger in exchange for a cash payment equal to $81.50 per share (without interest) subject to any required withholding of taxes minus the per share base price of the SAR.

Myovant Sciences Ltd.

Report date July 10, 2019 · Filed July 16, 2019

Section 16 reporting ended · disclosed 2019-07-16. Current position is not established by this disclosure.

No balance rows disclosed in this filing.

Principia Biopharma Inc.

Report date September 28, 2020 · Filed September 28, 2020

Section 16 reporting ended · disclosed 2020-09-28. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $31.77 · Expires 2029-06-10Direct0 Reported balance After 2020-09-28 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2020-09-28 · Disposition to issuer · Disposed 20,475 · Balance 0

F1: Pursuant to the Agreement and Plan of Merger, dated as of August 16, 2020, by and among Principia Biopharma Inc. (the "Issuer"), Sanofi ("Sanofi") and Kortex Acquisition Corp. ("Purchaser") (the "Merger Agreement"), on September 28, 2020, Purchaser merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Sanofi (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options.

Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $31.77 · Expires 2029-06-10Direct0 Reported balance After 2020-09-28 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2020-09-28 · Disposition to issuer · Disposed 10,240 · Balance 0

F1: Pursuant to the Agreement and Plan of Merger, dated as of August 16, 2020, by and among Principia Biopharma Inc. (the "Issuer"), Sanofi ("Sanofi") and Kortex Acquisition Corp. ("Purchaser") (the "Merger Agreement"), on September 28, 2020, Purchaser merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Sanofi (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options.

Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $62.66 · Expires 2030-06-03Direct0 Reported balance After 2020-09-28 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2020-09-28 · Disposition to issuer · Disposed 10,240 · Balance 0

F1: Pursuant to the Agreement and Plan of Merger, dated as of August 16, 2020, by and among Principia Biopharma Inc. (the "Issuer"), Sanofi ("Sanofi") and Kortex Acquisition Corp. ("Purchaser") (the "Merger Agreement"), on September 28, 2020, Purchaser merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Sanofi (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Agreement and Plan of Merger, dated as of August 16, 2020, by and among Principia Biopharma Inc. (the "Issuer"), Sanofi ("Sanofi") and Kortex Acquisition Corp. ("Purchaser") (the "Merger Agreement"), on September 28, 2020, Purchaser merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Sanofi (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options.

Sio Gene Therapies Inc.

Report date July 10, 2019 · Filed July 16, 2019

Section 16 reporting ended · disclosed 2019-07-16. Current position is not established by this disclosure.

No balance rows disclosed in this filing.

Turning Point Therapeutics, Inc.

Report date August 17, 2022 · Filed August 17, 2022

Section 16 reporting ended · disclosed 2022-08-17. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $29.56 · Expires 2029-05-12Direct0 Reported balance After 2022-08-17 transaction · row 1 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 1 · 2022-08-17 · Disposition to issuer · Disposed 30,000 · Balance 0

F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 2, 2022, by and among Turning Point Therapeutics, Inc. (the "Issuer"), Bristol-Myers Squibb Company ("BMS") and Rhumba Merger Sub Inc., a wholly owned subsidiary of BMS ("Purchaser"), on August 17, 2022, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of BMS (the "Merger").

F2: At the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option was accelerated and became fully vested and exercisable and was cancelled and automatically converted into the right to receive cash, without interest, in an amount equal to the product of (i) the total number of Shares subject to such option multiplied by (ii) the excess of (x) $76.00 per Share over (y) the exercise price payable per Share under such option, net of any withholding taxes required to be deducted and withheld by applicable law.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $65.39 · Expires 2030-06-14Direct0 Reported balance After 2022-08-17 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2022-08-17 · Disposition to issuer · Disposed 8,500 · Balance 0

F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 2, 2022, by and among Turning Point Therapeutics, Inc. (the "Issuer"), Bristol-Myers Squibb Company ("BMS") and Rhumba Merger Sub Inc., a wholly owned subsidiary of BMS ("Purchaser"), on August 17, 2022, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of BMS (the "Merger").

F2: At the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option was accelerated and became fully vested and exercisable and was cancelled and automatically converted into the right to receive cash, without interest, in an amount equal to the product of (i) the total number of Shares subject to such option multiplied by (ii) the excess of (x) $76.00 per Share over (y) the exercise price payable per Share under such option, net of any withholding taxes required to be deducted and withheld by applicable law.

Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $65.64 · Expires 2031-06-01Direct0 Reported balance After 2022-08-17 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2022-08-17 · Disposition to issuer · Disposed 8,500 · Balance 0

F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 2, 2022, by and among Turning Point Therapeutics, Inc. (the "Issuer"), Bristol-Myers Squibb Company ("BMS") and Rhumba Merger Sub Inc., a wholly owned subsidiary of BMS ("Purchaser"), on August 17, 2022, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of BMS (the "Merger").

F2: At the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option was accelerated and became fully vested and exercisable and was cancelled and automatically converted into the right to receive cash, without interest, in an amount equal to the product of (i) the total number of Shares subject to such option multiplied by (ii) the excess of (x) $76.00 per Share over (y) the exercise price payable per Share under such option, net of any withholding taxes required to be deducted and withheld by applicable law.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of June 2, 2022, by and among Turning Point Therapeutics, Inc. (the "Issuer"), Bristol-Myers Squibb Company ("BMS") and Rhumba Merger Sub Inc., a wholly owned subsidiary of BMS ("Purchaser"), on August 17, 2022, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of BMS (the "Merger").

F2: At the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option was accelerated and became fully vested and exercisable and was cancelled and automatically converted into the right to receive cash, without interest, in an amount equal to the product of (i) the total number of Shares subject to such option multiplied by (ii) the excess of (x) $76.00 per Share over (y) the exercise price payable per Share under such option, net of any withholding taxes required to be deducted and withheld by applicable law.

Urovant Sciences Ltd.

Report date July 10, 2019 · Filed July 16, 2019

Section 16 reporting ended · disclosed 2019-07-16. Current position is not established by this disclosure.

No balance rows disclosed in this filing.

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
June 30, 2026 Filed Jul 2, 2026 22:24 UTC ALUMIS INC. ALMS · Entity 4816 GrantStock Option (Right to Buy) · Derivative 15,528 $0.00 Strike: $28.14 $0.00
Disclosure

SEC source: 0001311210-26-000006 · form4-07022026_100719.xml · derivative · entry 3

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,528

Underlying: Common Stock · 15,528 shares

Expires 2036-06-29

F3 · derivative.exercise_date: The shares underlying this option vest on the first anniversary of the date of grant, provided that the shares will in any case be fully vested on the date of the Issuer's 2027 annual stockholder meeting, subject to the Reporting Person's Continuous Service (as defined in the Plan) through such vesting date and will vest in full upon a Change in Control (as defined in the Plan), subject to the Reporting Person's Continuous Service (as defined in the Plan) through such date.

Read SEC document
June 30, 2026 Filed Jul 2, 2026 22:24 UTC ALUMIS INC. ALMS · Entity 4816 GrantCommon Stock 3,553 $0.00 $0.00
Disclosure

SEC source: 0001311210-26-000006 · form4-07022026_100719.xml · nonDerivative · entry 1

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,553

F1 · shares: Represents shares of common stock issuable upon settlement of a restricted stock unit ("RSU") grant. The shares underlying this RSU vest on the first anniversary of the date of grant, provided that the shares will in any case be fully vested on the date of the Issuer's 2027 annual stockholder meeting, subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2024 Equity Incentive Plan (the "Plan")) through such vesting date and will vest in full upon a Change in Control (as defined in the Plan), subject to the Reporting Person's Continuous Service (as defined in the Plan) through such date.

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June 11, 2026 Filed Jun 12, 2026 20:28 UTC Arcus Biosciences, Inc. RCUS · Entity 4104 GrantStock Option (Right to Buy) · Derivative 16,900 $0.00 Strike: $23.30 $0.00
Disclosure

SEC source: 0001311210-26-000003 · wk-form4_1781296101.xml · derivative · entry 2

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,900

Underlying: Stock Option (Rights to Buy) · 16,900 shares

Expires 2036-06-10

F2 · derivative.exercise_date: The option will vest in full on the earlier of June 11, 2027 or the next annual meeting of stockholders of the issuer. The option will become fully vested and exercisable in the event the Company is subject to a change in control.

Read SEC document
June 11, 2026 Filed Jun 12, 2026 20:28 UTC Arcus Biosciences, Inc. RCUS · Entity 4104 GrantCommon Stock 5,700 $0.00 $0.00
Disclosure

SEC source: 0001311210-26-000003 · wk-form4_1781296101.xml · nonDerivative · entry 1

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,300

F1 · shares: Represents the grant of restricted stock units that vest in full on the earlier of June 11, 2027 or the next annual meeting of stockholders of the issuer. The RSUs will become fully vested in the event the Company is subject to a change in control.

Read SEC document
June 03, 2026 Filed Jun 4, 2026 01:04 UTC Xenon Pharmaceuticals Inc. XENE · Entity 2602 GrantRestricted Share Units · Derivative 1,593 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001193125-26-256125 · ownership.xml · derivative · entry 4

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,593

Underlying: Common Shares · 1,593 shares

Expires not disclosed

F3 · derivative.exercise_date: Each RSU represents a contingent right to receive one Common Share vesting 100% on the earlier of (i) June 1, 2027 or (ii) the day before the date of the issuer's 2027 annual meeting of shareholders.

F3 · derivative.expiration_date: Each RSU represents a contingent right to receive one Common Share vesting 100% on the earlier of (i) June 1, 2027 or (ii) the day before the date of the issuer's 2027 annual meeting of shareholders.

Read SEC document
June 03, 2026 Filed Jun 4, 2026 01:04 UTC Xenon Pharmaceuticals Inc. XENE · Entity 2602 GrantShare Option (Right to Buy) · Derivative 10,507 $0.00 Strike: $53.46 $0.00
Disclosure

SEC source: 0001193125-26-256125 · ownership.xml · derivative · entry 3

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,507

Underlying: Common Shares · 10,507 shares

Expires 2036-06-02

F2 · derivative.exercise_date: Vesting 100% on the earlier of (i) June 1, 2027 or (ii) the day before the date of the issuer's 2027 annual meeting of shareholders.

Read SEC document
June 01, 2026 Filed Jun 4, 2026 01:04 UTC Xenon Pharmaceuticals Inc. XENE · Entity 2602 Exercise / conversionRestricted Share Units · Derivative 2,645 $0.00 $0.00
Disclosure

SEC source: 0001193125-26-256125 · ownership.xml · derivative · entry 2

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 2,645 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: Represents Common Shares earned and vested under a restricted share unit ("RSU") award granted to the reporting person on June 5, 2025. The RSU award vested 100% on June 1, 2026, the day before the date of the issuer's 2026 annual meeting of shareholders.

F1 · derivative.exercise_date: Represents Common Shares earned and vested under a restricted share unit ("RSU") award granted to the reporting person on June 5, 2025. The RSU award vested 100% on June 1, 2026, the day before the date of the issuer's 2026 annual meeting of shareholders.

F1 · derivative.expiration_date: Represents Common Shares earned and vested under a restricted share unit ("RSU") award granted to the reporting person on June 5, 2025. The RSU award vested 100% on June 1, 2026, the day before the date of the issuer's 2026 annual meeting of shareholders.

Read SEC document
June 01, 2026 Filed Jun 4, 2026 01:04 UTC Xenon Pharmaceuticals Inc. XENE · Entity 2602 Exercise / conversionCommon Shares 2,645 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-26-256125 · ownership.xml · nonDerivative · entry 1

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,645

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: Represents Common Shares earned and vested under a restricted share unit ("RSU") award granted to the reporting person on June 5, 2025. The RSU award vested 100% on June 1, 2026, the day before the date of the issuer's 2026 annual meeting of shareholders.

F1 · price: Represents Common Shares earned and vested under a restricted share unit ("RSU") award granted to the reporting person on June 5, 2025. The RSU award vested 100% on June 1, 2026, the day before the date of the issuer's 2026 annual meeting of shareholders.

Read SEC document
December 09, 2025 Filed Dec 10, 2025 18:22 UTC Adverum Biotechnologies, Inc. ADVM · Entity 71889 Disposition to issuerStock Option (Right to Buy) · Derivative 13,590 Not disclosed Strike: $2.32 Not disclosed
Disclosure

SEC source: 0001311210-25-000004 · form4-12102025_061234.xml · derivative · entry 13

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,590 shares

Expires not disclosed

F4 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding stock option granted under a Company Equity Plan having an exercise price less than the Cash Consideration (each such option, a "Cash-Out Stock Option") that was outstanding immediately prior to the Effective Time, whether or not vested, was automatically cancelled, and in exchange for such cancellation, the holder of such Cash-Out Stock Option received (i) an amount in cash, without interest and less any applicable tax withholdings, equal to the product of (a) the excess, if any, of the Cash Consideration over the applicable exercise price per share underlying such Cash-Out Stock Option multiplied by (b) the total number of shares subject to such Cash-Out Stock Option and (ii) one CVR for each share subject to such Cash-Out Stock Option (without regard to vesting).

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding stock option granted under a Company Equity Plan having an exercise price less than the Cash Consideration (each such option, a "Cash-Out Stock Option") that was outstanding immediately prior to the Effective Time, whether or not vested, was automatically cancelled, and in exchange for such cancellation, the holder of such Cash-Out Stock Option received (i) an amount in cash, without interest and less any applicable tax withholdings, equal to the product of (a) the excess, if any, of the Cash Consideration over the applicable exercise price per share underlying such Cash-Out Stock Option multiplied by (b) the total number of shares subject to such Cash-Out Stock Option and (ii) one CVR for each share subject to such Cash-Out Stock Option (without regard to vesting).

F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding stock option granted under a Company Equity Plan having an exercise price less than the Cash Consideration (each such option, a "Cash-Out Stock Option") that was outstanding immediately prior to the Effective Time, whether or not vested, was automatically cancelled, and in exchange for such cancellation, the holder of such Cash-Out Stock Option received (i) an amount in cash, without interest and less any applicable tax withholdings, equal to the product of (a) the excess, if any, of the Cash Consideration over the applicable exercise price per share underlying such Cash-Out Stock Option multiplied by (b) the total number of shares subject to such Cash-Out Stock Option and (ii) one CVR for each share subject to such Cash-Out Stock Option (without regard to vesting).

Read SEC document
December 09, 2025 Filed Dec 10, 2025 18:22 UTC Adverum Biotechnologies, Inc. ADVM · Entity 71889 Disposition to issuerStock Option (Right to Buy) · Derivative 13,820 Not disclosed Strike: $7.32 Not disclosed
Disclosure

SEC source: 0001311210-25-000004 · form4-12102025_061234.xml · derivative · entry 12

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,820 shares

Expires not disclosed

F3 · price: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

F3 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

Read SEC document
December 09, 2025 Filed Dec 10, 2025 18:22 UTC Adverum Biotechnologies, Inc. ADVM · Entity 71889 Disposition to issuerStock Option (Right to Buy) · Derivative 5,250 Not disclosed Strike: $15.60 Not disclosed
Disclosure

SEC source: 0001311210-25-000004 · form4-12102025_061234.xml · derivative · entry 11

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,250 shares

Expires not disclosed

F3 · price: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

F3 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

Read SEC document
December 09, 2025 Filed Dec 10, 2025 18:22 UTC Adverum Biotechnologies, Inc. ADVM · Entity 71889 Disposition to issuerStock Option (Right to Buy) · Derivative 5,250 Not disclosed Strike: $9.90 Not disclosed
Disclosure

SEC source: 0001311210-25-000004 · form4-12102025_061234.xml · derivative · entry 10

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,250 shares

Expires not disclosed

F3 · price: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

F3 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

Read SEC document
December 09, 2025 Filed Dec 10, 2025 18:22 UTC Adverum Biotechnologies, Inc. ADVM · Entity 71889 Disposition to issuerStock Option (Right to Buy) · Derivative 5,250 Not disclosed Strike: $37.00 Not disclosed
Disclosure

SEC source: 0001311210-25-000004 · form4-12102025_061234.xml · derivative · entry 9

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,250 shares

Expires not disclosed

F3 · price: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

F3 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

Read SEC document
December 09, 2025 Filed Dec 10, 2025 18:22 UTC Adverum Biotechnologies, Inc. ADVM · Entity 71889 Disposition to issuerStock Option (Right to Buy) · Derivative 3,000 Not disclosed Strike: $256.40 Not disclosed
Disclosure

SEC source: 0001311210-25-000004 · form4-12102025_061234.xml · derivative · entry 8

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,000 shares

Expires not disclosed

F3 · price: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

F3 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

Read SEC document
December 09, 2025 Filed Dec 10, 2025 18:22 UTC Adverum Biotechnologies, Inc. ADVM · Entity 71889 Disposition to issuerStock Option (Right to Buy) · Derivative 1,500 Not disclosed Strike: $115.20 Not disclosed
Disclosure

SEC source: 0001311210-25-000004 · form4-12102025_061234.xml · derivative · entry 7

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,500 shares

Expires not disclosed

F3 · price: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

F3 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

Read SEC document
December 09, 2025 Filed Dec 10, 2025 18:22 UTC Adverum Biotechnologies, Inc. ADVM · Entity 71889 Disposition to issuerStock Option (Right to Buy) · Derivative 4,500 Not disclosed Strike: $134.10 Not disclosed
Disclosure

SEC source: 0001311210-25-000004 · form4-12102025_061234.xml · derivative · entry 6

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,500 shares

Expires not disclosed

F3 · price: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

F3 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

Read SEC document
December 09, 2025 Filed Dec 10, 2025 18:22 UTC Adverum Biotechnologies, Inc. ADVM · Entity 71889 Disposition to issuerStock Option (Right to Buy) · Derivative 3,500 Not disclosed Strike: $62.50 Not disclosed
Disclosure

SEC source: 0001311210-25-000004 · form4-12102025_061234.xml · derivative · entry 5

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,500 shares

Expires not disclosed

F3 · price: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

F3 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

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December 09, 2025 Filed Dec 10, 2025 18:22 UTC Adverum Biotechnologies, Inc. ADVM · Entity 71889 Disposition to issuerStock Option (Right to Buy) · Derivative 3,360 Not disclosed Strike: $27.50 Not disclosed
Disclosure

SEC source: 0001311210-25-000004 · form4-12102025_061234.xml · derivative · entry 4

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,360 shares

Expires not disclosed

F3 · price: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

F3 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

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December 09, 2025 Filed Dec 10, 2025 18:22 UTC Adverum Biotechnologies, Inc. ADVM · Entity 71889 Disposition to issuerStock Option (Right to Buy) · Derivative 6,476 Not disclosed Strike: $27.50 Not disclosed
Disclosure

SEC source: 0001311210-25-000004 · form4-12102025_061234.xml · derivative · entry 3

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,476 shares

Expires not disclosed

F3 · price: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

F3 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

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December 09, 2025 Filed Dec 10, 2025 18:22 UTC Adverum Biotechnologies, Inc. ADVM · Entity 71889 Disposition to issuerStock Option (Right to Buy) · Derivative 1,000 Not disclosed Strike: $64.00 Not disclosed
Disclosure

SEC source: 0001311210-25-000004 · form4-12102025_061234.xml · derivative · entry 2

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,000 shares

Expires not disclosed

F3 · price: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

F3 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, each Company Stock Option that has an exercise price equal to or greater than the Cash Consideration that was outstanding immediately prior to the Effective Time (each such Company Stock Option, an "Out-of-the-Money Option"), to the extent not vested, was fully vested as of prior to the Effective Time. Any Out-of-the-Money Options that remained outstanding and unexercised as of the Effective Time was cancelled for no consideration at the Effective Time.

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December 09, 2025 Filed Dec 10, 2025 18:22 UTC Adverum Biotechnologies, Inc. ADVM · Entity 71889 OtherCommon Stock 8,818 Not disclosed Not disclosed
Disclosure

SEC source: 0001311210-25-000004 · form4-12102025_061234.xml · nonDerivative · entry 1

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: In connection with the terms of an Agreement and Plan of Merger, dated as of October 24, 2025 (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Parent's direct wholly owned subsidiary, Flying Tigers Acquisition Corporation ("Purchaser"), Purchaser completed a tender offer for shares of the Issuer's Common Stock. In exchange for each share, tendering stockholders received: (i) $3.56 per share in cash, without interest and less any applicable tax withholding (the "Cash Consideration"); plus (ii) one non-tradable contingent value right (each, a "CVR"), which represents the contractual right to receive up to two contingent cash payments of up to an aggregate of $8.91 per CVR, net to the stockholder in cash,

F2 · kind: (continued from footnote 1) without interest and less any applicable tax withholding, upon the achievement of both specified milestones in accordance with the terms and subject to the conditions of a contingent value rights agreement (the "CVR Agreement") with Computershare Inc. and its affiliate, Computershare Trust Company, N.A, as the rights agent. After completion of the tender offer, pursuant to the terms of the Merger Agreement, Purchaser merged with and into the Issuer (the "Merger"), effective as of December 9, 2025, with the Issuer continuing as the surviving entity and a wholly owned subsidiary of Parent (the "Effective Time").

F1 · price: In connection with the terms of an Agreement and Plan of Merger, dated as of October 24, 2025 (the "Merger Agreement"), by and among the Issuer, Eli Lilly and Company ("Parent") and Parent's direct wholly owned subsidiary, Flying Tigers Acquisition Corporation ("Purchaser"), Purchaser completed a tender offer for shares of the Issuer's Common Stock. In exchange for each share, tendering stockholders received: (i) $3.56 per share in cash, without interest and less any applicable tax withholding (the "Cash Consideration"); plus (ii) one non-tradable contingent value right (each, a "CVR"), which represents the contractual right to receive up to two contingent cash payments of up to an aggregate of $8.91 per CVR, net to the stockholder in cash,

F2 · price: (continued from footnote 1) without interest and less any applicable tax withholding, upon the achievement of both specified milestones in accordance with the terms and subject to the conditions of a contingent value rights agreement (the "CVR Agreement") with Computershare Inc. and its affiliate, Computershare Trust Company, N.A, as the rights agent. After completion of the tender offer, pursuant to the terms of the Merger Agreement, Purchaser merged with and into the Issuer (the "Merger"), effective as of December 9, 2025, with the Issuer continuing as the surviving entity and a wholly owned subsidiary of Parent (the "Effective Time").

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July 30, 2025 Filed Aug 1, 2025 20:05 UTC ALUMIS INC. ALMS · Entity 4816 GrantStock Option (Right to Buy) · Derivative 49,800 $0.00 Strike: $4.10 $0.00
Disclosure

SEC source: 0001415889-25-020834 · form4-08012025_040803.xml · derivative · entry 1

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,800

Underlying: Common Stock · 49,800 shares

Expires 2035-07-29

F1 · derivative.exercise_date: The shares underlying this option vest on the first anniversary of the date of grant, provided that the shares will in any case be fully vested on the date of the Issuer's 2026 annual stockholder meeting, subject to the Reporting Person's Continuous Service (as defined in the Issuer's 2024 Equity Incentive Plan (the "Plan")) through such vesting date and will vest in full upon a Change in Control (as defined in the Plan), subject to the Reporting Person's Continuous Service (as defined in the Plan) through such date.

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June 17, 2025 Filed Jun 20, 2025 20:21 UTC Adverum Biotechnologies, Inc. ADVM · Entity 71889 GrantStock Option (Right to Buy) · Derivative 3,140 $0.00 Strike: $2.32 $0.00
Disclosure

SEC source: 0001415889-25-017845 · form4-06202025_080644.xml · derivative · entry 2

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,140

Underlying: Common Stock · 3,140 shares

Expires 2035-06-16

F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable on the earlier of June 17, 2026 or the 2026 annual meeting of stockholders, subject to (1) accelerated vesting upon a change of control and (2) the Reporting Person's continued service with the Issuer on the vesting date.

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June 17, 2025 Filed Jun 20, 2025 20:21 UTC Adverum Biotechnologies, Inc. ADVM · Entity 71889 GrantStock Option (Right to Buy) · Derivative 10,450 $0.00 Strike: $2.32 $0.00
Disclosure

SEC source: 0001415889-25-017845 · form4-06202025_080644.xml · derivative · entry 1

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,450

Underlying: Common Stock · 10,450 shares

Expires 2035-06-16

F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable on the earlier of June 17, 2026 or the 2026 annual meeting of stockholders, subject to (1) accelerated vesting upon a change of control and (2) the Reporting Person's continued service with the Issuer on the vesting date.

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June 10, 2025 Filed Jun 12, 2025 20:28 UTC Arcus Biosciences, Inc. RCUS · Entity 4104 GrantStock Option (Right to Buy) · Derivative 38,300 $0.00 Strike: $10.02 $0.00
Disclosure

SEC source: 0001724521-25-000090 · wk-form4_1749760118.xml · derivative · entry 2

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,300

Underlying: Common Stock · 38,300 shares

Expires 2035-06-09

F2 · derivative.exercise_date: The option will vest in full on the earlier of June 10, 2026 or the next annual meeting of stockholders of the issuer. The option will become fully vested and exercisable in the event the Company is subject to a change in control.

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June 10, 2025 Filed Jun 12, 2025 20:28 UTC Arcus Biosciences, Inc. RCUS · Entity 4104 GrantCommon Stock 13,300 $0.00 $0.00
Disclosure

SEC source: 0001724521-25-000090 · wk-form4_1749760118.xml · nonDerivative · entry 1

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,600

F1 · shares: Represents the grant of restricted stock units that vest in full on the earlier of June 10, 2026 or the next annual meeting of stockholders of the issuer. The RSUs will become fully vested in the event the Company is subject to a change in control.

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June 05, 2025 Filed Jun 6, 2025 22:00 UTC Xenon Pharmaceuticals Inc. XENE · Entity 2602 GrantRestricted Share Units · Derivative 2,645 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000950170-25-083328 · ownership.xml · derivative · entry 2

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,645

Underlying: Common Shares · 2,645 shares

Expires not disclosed

F2 · derivative.exercise_date: Each restricted share unit represents a contingent right to receive one Common Share vesting 100% on the earlier of (i) June 4, 2026 or (ii) the day before the date of the issuer's 2026 annual meeting of shareholders.

F2 · derivative.expiration_date: Each restricted share unit represents a contingent right to receive one Common Share vesting 100% on the earlier of (i) June 4, 2026 or (ii) the day before the date of the issuer's 2026 annual meeting of shareholders.

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June 05, 2025 Filed Jun 6, 2025 22:00 UTC Xenon Pharmaceuticals Inc. XENE · Entity 2602 GrantShare Option (Right to Buy) · Derivative 17,012 $0.00 Strike: $30.73 $0.00
Disclosure

SEC source: 0000950170-25-083328 · ownership.xml · derivative · entry 1

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,012

Underlying: Common Shares · 17,012 shares

Expires 2035-06-04

F1 · derivative.exercise_date: Vesting 100% on the earlier of (i) June 4, 2026 or (ii) the day before the date of the issuer's 2026 annual meeting of shareholders.

Read SEC document
May 21, 2025 Filed May 23, 2025 20:05 UTC ALUMIS INC. ALMS · Entity 4816 GrantStock Option (Right to Buy) · Derivative 19,528 Not disclosed Strike: $1.60 Not disclosed
Disclosure

SEC source: 0001415889-25-014422 · form4-05232025_040512.xml · derivative · entry 6

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,528

Underlying: Class A Common Stock · 19,528 shares

Expires 2031-07-25

F9 · security: Received in the Merger in exchange for an employee stock option to acquire 40,567 shares of ACELYRIN common stock for $0.7683 per share.

F4 · derivative.exercise_price: Pursuant to the Merger Agreement, at the Effective Time each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per share exercise price of $18.00 or less was assumed by Issuer and converted into an option to purchase a number of shares of Issuer Common Stock equal to (i) the number of shares subject to the option immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, which stock option shall have an exercise price equal to (i) the per share exercise price for shares subject to the corresponding ACELYRIN stock option immediately prior to the Effective Time, divided by (ii) the Exchange Ratio, rounded up to the nearest whole cent.

F1 · price: On February 6, 2025, the Issuer entered into an Agreement and Plan of Merger (as amended on April 20, 2025, the "Merger Agreement") with ACELYRIN, Inc., a Delaware corporation ("ACELYRIN"), and Arrow Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Issuer ("Merger Sub"). Pursuant to the Merger Agreement, on May 21, 2025, Merger Sub merged with and into ACELYRIN (the "Merger"), with ACELYRIN surviving as a wholly owned subsidiary of Issuer. At the effective time of the Merger (the "Effective Time"), each share of common stock, par value $0.00001 per share, of ACELYRIN issued and outstanding was converted into the right to receive 0.4814 (the "Exchange Ratio") shares of voting common stock of Issuer, par value $0.0001 per share, and cash in lieu of any fractional shares.

F5 · derivative.exercise_date: Stock Option is fully vested and exercisable.

Read SEC document
May 21, 2025 Filed May 23, 2025 20:05 UTC ALUMIS INC. ALMS · Entity 4816 GrantStock Option (Right to Buy) · Derivative 13,804 Not disclosed Strike: $12.21 Not disclosed
Disclosure

SEC source: 0001415889-25-014422 · form4-05232025_040512.xml · derivative · entry 5

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,804

Underlying: Class A Common Stock · 13,804 shares

Expires 2032-11-20

F8 · security: Received in the Merger in exchange for an employee stock option to acquire 28,675 shares of ACELYRIN common stock for $5.8766 per share.

F4 · derivative.exercise_price: Pursuant to the Merger Agreement, at the Effective Time each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per share exercise price of $18.00 or less was assumed by Issuer and converted into an option to purchase a number of shares of Issuer Common Stock equal to (i) the number of shares subject to the option immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, which stock option shall have an exercise price equal to (i) the per share exercise price for shares subject to the corresponding ACELYRIN stock option immediately prior to the Effective Time, divided by (ii) the Exchange Ratio, rounded up to the nearest whole cent.

F1 · price: On February 6, 2025, the Issuer entered into an Agreement and Plan of Merger (as amended on April 20, 2025, the "Merger Agreement") with ACELYRIN, Inc., a Delaware corporation ("ACELYRIN"), and Arrow Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Issuer ("Merger Sub"). Pursuant to the Merger Agreement, on May 21, 2025, Merger Sub merged with and into ACELYRIN (the "Merger"), with ACELYRIN surviving as a wholly owned subsidiary of Issuer. At the effective time of the Merger (the "Effective Time"), each share of common stock, par value $0.00001 per share, of ACELYRIN issued and outstanding was converted into the right to receive 0.4814 (the "Exchange Ratio") shares of voting common stock of Issuer, par value $0.0001 per share, and cash in lieu of any fractional shares.

F5 · derivative.exercise_date: Stock Option is fully vested and exercisable.

Read SEC document
May 21, 2025 Filed May 23, 2025 20:05 UTC ALUMIS INC. ALMS · Entity 4816 GrantStock Option (Right to Buy) · Derivative 41,499 Not disclosed Strike: $12.21 Not disclosed
Disclosure

SEC source: 0001415889-25-014422 · form4-05232025_040512.xml · derivative · entry 4

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,499

Underlying: Class A Common Stock · 41,499 shares

Expires 2032-11-20

F7 · security: Received in the Merger in exchange for an employee stock option to acquire 86,206 shares of ACELYRIN common stock for $5.8766 per share.

F4 · derivative.exercise_price: Pursuant to the Merger Agreement, at the Effective Time each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per share exercise price of $18.00 or less was assumed by Issuer and converted into an option to purchase a number of shares of Issuer Common Stock equal to (i) the number of shares subject to the option immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, which stock option shall have an exercise price equal to (i) the per share exercise price for shares subject to the corresponding ACELYRIN stock option immediately prior to the Effective Time, divided by (ii) the Exchange Ratio, rounded up to the nearest whole cent.

F1 · price: On February 6, 2025, the Issuer entered into an Agreement and Plan of Merger (as amended on April 20, 2025, the "Merger Agreement") with ACELYRIN, Inc., a Delaware corporation ("ACELYRIN"), and Arrow Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Issuer ("Merger Sub"). Pursuant to the Merger Agreement, on May 21, 2025, Merger Sub merged with and into ACELYRIN (the "Merger"), with ACELYRIN surviving as a wholly owned subsidiary of Issuer. At the effective time of the Merger (the "Effective Time"), each share of common stock, par value $0.00001 per share, of ACELYRIN issued and outstanding was converted into the right to receive 0.4814 (the "Exchange Ratio") shares of voting common stock of Issuer, par value $0.0001 per share, and cash in lieu of any fractional shares.

F5 · derivative.exercise_date: Stock Option is fully vested and exercisable.

Read SEC document
May 21, 2025 Filed May 23, 2025 20:05 UTC ALUMIS INC. ALMS · Entity 4816 GrantStock Option (Right to Buy) · Derivative 11,189 Not disclosed Strike: $37.39 Not disclosed
Disclosure

SEC source: 0001415889-25-014422 · form4-05232025_040512.xml · derivative · entry 3

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,189

Underlying: Class A Common Stock · 11,189 shares

Expires 2033-05-03

F6 · security: Received in the Merger in exchange for an employee stock option to acquire 23,243 shares of ACELYRIN common stock for $18.00 per share.

F4 · derivative.exercise_price: Pursuant to the Merger Agreement, at the Effective Time each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per share exercise price of $18.00 or less was assumed by Issuer and converted into an option to purchase a number of shares of Issuer Common Stock equal to (i) the number of shares subject to the option immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, which stock option shall have an exercise price equal to (i) the per share exercise price for shares subject to the corresponding ACELYRIN stock option immediately prior to the Effective Time, divided by (ii) the Exchange Ratio, rounded up to the nearest whole cent.

F1 · price: On February 6, 2025, the Issuer entered into an Agreement and Plan of Merger (as amended on April 20, 2025, the "Merger Agreement") with ACELYRIN, Inc., a Delaware corporation ("ACELYRIN"), and Arrow Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Issuer ("Merger Sub"). Pursuant to the Merger Agreement, on May 21, 2025, Merger Sub merged with and into ACELYRIN (the "Merger"), with ACELYRIN surviving as a wholly owned subsidiary of Issuer. At the effective time of the Merger (the "Effective Time"), each share of common stock, par value $0.00001 per share, of ACELYRIN issued and outstanding was converted into the right to receive 0.4814 (the "Exchange Ratio") shares of voting common stock of Issuer, par value $0.0001 per share, and cash in lieu of any fractional shares.

F5 · derivative.exercise_date: Stock Option is fully vested and exercisable.

Read SEC document
May 21, 2025 Filed May 23, 2025 20:05 UTC ALUMIS INC. ALMS · Entity 4816 GrantStock Option (Right to Buy) · Derivative 44,364 Not disclosed Strike: $9.26 Not disclosed
Disclosure

SEC source: 0001415889-25-014422 · form4-05232025_040512.xml · derivative · entry 2

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,364

Underlying: Class A Common Stock · 44,364 shares

Expires 2034-06-06

F3 · security: Received in the Merger in exchange for an employee stock option to acquire 92,158 shares of ACELYRIN common stock for $4.46 per share.

F4 · derivative.exercise_price: Pursuant to the Merger Agreement, at the Effective Time each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per share exercise price of $18.00 or less was assumed by Issuer and converted into an option to purchase a number of shares of Issuer Common Stock equal to (i) the number of shares subject to the option immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, which stock option shall have an exercise price equal to (i) the per share exercise price for shares subject to the corresponding ACELYRIN stock option immediately prior to the Effective Time, divided by (ii) the Exchange Ratio, rounded up to the nearest whole cent.

F1 · price: On February 6, 2025, the Issuer entered into an Agreement and Plan of Merger (as amended on April 20, 2025, the "Merger Agreement") with ACELYRIN, Inc., a Delaware corporation ("ACELYRIN"), and Arrow Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Issuer ("Merger Sub"). Pursuant to the Merger Agreement, on May 21, 2025, Merger Sub merged with and into ACELYRIN (the "Merger"), with ACELYRIN surviving as a wholly owned subsidiary of Issuer. At the effective time of the Merger (the "Effective Time"), each share of common stock, par value $0.00001 per share, of ACELYRIN issued and outstanding was converted into the right to receive 0.4814 (the "Exchange Ratio") shares of voting common stock of Issuer, par value $0.0001 per share, and cash in lieu of any fractional shares.

F5 · derivative.exercise_date: Stock Option is fully vested and exercisable.

Read SEC document
May 21, 2025 Filed May 23, 2025 20:05 UTC ALUMIS INC. ALMS · Entity 4816 GrantCommon Stock 7,064 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-25-014422 · form4-05232025_040512.xml · nonDerivative · entry 1

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 7,064

F1 · price: On February 6, 2025, the Issuer entered into an Agreement and Plan of Merger (as amended on April 20, 2025, the "Merger Agreement") with ACELYRIN, Inc., a Delaware corporation ("ACELYRIN"), and Arrow Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Issuer ("Merger Sub"). Pursuant to the Merger Agreement, on May 21, 2025, Merger Sub merged with and into ACELYRIN (the "Merger"), with ACELYRIN surviving as a wholly owned subsidiary of Issuer. At the effective time of the Merger (the "Effective Time"), each share of common stock, par value $0.00001 per share, of ACELYRIN issued and outstanding was converted into the right to receive 0.4814 (the "Exchange Ratio") shares of voting common stock of Issuer, par value $0.0001 per share, and cash in lieu of any fractional shares.

F2 · ownership.nature: Shares held directly by Patrick Machado Revocable Trust, Patrick Machado, TEE, for which the Reporting Person serves as trustee.

Read SEC document
May 21, 2025 Filed May 23, 2025 20:06 UTC ACELYRIN, Inc. SLRN · Entity 79310 Disposition to issuerDirector Stock Option (right to buy) · Derivative 40,567 Not disclosed Strike: $0.77 Not disclosed
Disclosure

SEC source: 0001962918-25-000056 · wk-form4_1748030799.xml · derivative · entry 6

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 40,567 shares

Expires 2031-07-25

F4 · price: Pursuant to the Merger Agreement, at the Effective Time each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per share exercise price of $18.00 or less was assumed by Parent and converted into an option to purchase a number of shares of Parent Common Stock equal to (i) the number of shares subject to the option immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, which stock option shall have an exercise price equal to (i) the per share exercise price for shares subject to the corresponding Company stock option immediately prior to the Effective Time, divided by (ii) the Exchange Ratio, rounded up to the nearest whole cent.

F8 · derivative.exercise_date: 1/48 of the shares subject to the option vested on May 19, 2021 and 1/48 of the shares subject to the option vests in equal monthly installments thereafter, subject to the Reporting Person's continued service.

Read SEC document
May 21, 2025 Filed May 23, 2025 20:06 UTC ACELYRIN, Inc. SLRN · Entity 79310 Disposition to issuerDirector Stock Option (right to buy) · Derivative 86,206 Not disclosed Strike: $5.88 Not disclosed
Disclosure

SEC source: 0001962918-25-000056 · wk-form4_1748030799.xml · derivative · entry 5

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 86,206 shares

Expires 2032-11-20

F4 · price: Pursuant to the Merger Agreement, at the Effective Time each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per share exercise price of $18.00 or less was assumed by Parent and converted into an option to purchase a number of shares of Parent Common Stock equal to (i) the number of shares subject to the option immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, which stock option shall have an exercise price equal to (i) the per share exercise price for shares subject to the corresponding Company stock option immediately prior to the Effective Time, divided by (ii) the Exchange Ratio, rounded up to the nearest whole cent.

F7 · derivative.exercise_date: 1/48 of the shares subject to the option vested on November 1, 2022 and 1/48 of the shares subject to the option vests in equal monthly installments thereafter, subject to the Reporting Person's continued service.

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May 21, 2025 Filed May 23, 2025 20:06 UTC ACELYRIN, Inc. SLRN · Entity 79310 Disposition to issuerDirector Stock Option (right to buy) · Derivative 28,675 Not disclosed Strike: $5.88 Not disclosed
Disclosure

SEC source: 0001962918-25-000056 · wk-form4_1748030799.xml · derivative · entry 4

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 28,675 shares

Expires 2032-11-20

F4 · price: Pursuant to the Merger Agreement, at the Effective Time each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per share exercise price of $18.00 or less was assumed by Parent and converted into an option to purchase a number of shares of Parent Common Stock equal to (i) the number of shares subject to the option immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, which stock option shall have an exercise price equal to (i) the per share exercise price for shares subject to the corresponding Company stock option immediately prior to the Effective Time, divided by (ii) the Exchange Ratio, rounded up to the nearest whole cent.

F6 · derivative.exercise_date: 1/48 of the shares subject to the option vested on December 17, 2022 and 1/48 of the shares subject to the option vests in equal monthly installments thereafter, subject to the Reporting Person's continued service.

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May 21, 2025 Filed May 23, 2025 20:06 UTC ACELYRIN, Inc. SLRN · Entity 79310 Disposition to issuerDirector Stock Option (right to buy) · Derivative 23,243 Not disclosed Strike: $18.00 Not disclosed
Disclosure

SEC source: 0001962918-25-000056 · wk-form4_1748030799.xml · derivative · entry 3

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 23,243 shares

Expires 2033-05-03

F4 · price: Pursuant to the Merger Agreement, at the Effective Time each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per share exercise price of $18.00 or less was assumed by Parent and converted into an option to purchase a number of shares of Parent Common Stock equal to (i) the number of shares subject to the option immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, which stock option shall have an exercise price equal to (i) the per share exercise price for shares subject to the corresponding Company stock option immediately prior to the Effective Time, divided by (ii) the Exchange Ratio, rounded up to the nearest whole cent.

F5 · derivative.exercise_date: 1/36 of the shares subject to the option vested on June 4, 2023, and 1/36 of the shares subject to the option vest in equal monthly installments thereafter, subject to the Reporting Person's continued service.

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May 21, 2025 Filed May 23, 2025 20:06 UTC ACELYRIN, Inc. SLRN · Entity 79310 Disposition to issuerDirector Stock Option (right to buy) · Derivative 92,158 Not disclosed Strike: $4.46 Not disclosed
Disclosure

SEC source: 0001962918-25-000056 · wk-form4_1748030799.xml · derivative · entry 2

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 92,158 shares

Expires 2034-06-06

F4 · price: Pursuant to the Merger Agreement, at the Effective Time each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per share exercise price of $18.00 or less was assumed by Parent and converted into an option to purchase a number of shares of Parent Common Stock equal to (i) the number of shares subject to the option immediately prior to the Effective Time, multiplied by (ii) the Exchange Ratio, with any fractional shares rounded down to the nearest whole share, which stock option shall have an exercise price equal to (i) the per share exercise price for shares subject to the corresponding Company stock option immediately prior to the Effective Time, divided by (ii) the Exchange Ratio, rounded up to the nearest whole cent.

F3 · derivative.exercise_date: All of the shares subject to the option vest on the earlier of (i) June 7, 2025, or (ii) the day immediately preceding the next annual meeting of stockholders following the grant date of the option, subject to the Reporting Person's continued service as a director through the vesting date.

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May 21, 2025 Filed May 23, 2025 20:06 UTC ACELYRIN, Inc. SLRN · Entity 79310 Disposition to issuerCommon Stock 14,675 Not disclosed Not disclosed
Disclosure

SEC source: 0001962918-25-000056 · wk-form4_1748030799.xml · nonDerivative · entry 1

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · price: On February 6, 2025, ACELYRIN, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (as amended on April 20, 2025, the "Merger Agreement") with Alumis, Inc., a Delaware corporation ("Parent"), and Arrow Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, on May 21, 2025, Merger Sub merged with and into the Company (the "Merger"), with the Company surviving as a wholly owned subsidiary of Parent. At the effective time of the Merger (the "Effective Time"), each share of common stock, par value $0.00001 per share, of the Company issued and outstanding was converted into the right to receive 0.4814 (the "Exchange Ratio") shares of voting common stock of Parent, par value $0.0001 per share ("Parent Common Stock"), and cash in lieu of any fractional shares.

F2 · ownership.nature: Shares held directly by Patrick Machado Revocable Trust, Patrick Machado, TEE, for which the Reporting Person serves as trustee.

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July 01, 2024 Filed Jul 1, 2024 20:41 UTC ALUMIS INC. ALMS · Entity 4816 GrantStock Option (Right to Buy) · Derivative 38,000 $0.00 Strike: $16.00 $0.00
Disclosure

SEC source: 0001415889-24-018604 · form4-07012024_080733.xml · derivative · entry 3

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,000

Underlying: Common Stock · 38,000 shares

Expires 2034-06-26

F2 · kind: Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock.

F1 · derivative.exercise_date: Option vests over a 3-year period, with 1/3 of the total number of shares subject to the option vesting on each of the first three anniversaries of June 21, 2024, subject to acceleration and the Reporting Person's continuous service to the Issuer on each such vesting date.

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July 01, 2024 Filed Jul 1, 2024 20:41 UTC ALUMIS INC. ALMS · Entity 4816 Disposition to issuerStock Option (Right to Buy) · Derivative 38,000 $0.00 Strike: $16.00 $0.00
Disclosure

SEC source: 0001415889-24-018604 · form4-07012024_080733.xml · derivative · entry 2

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 38,000 shares

Expires 2034-06-26

F2 · kind: Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock.

F1 · derivative.exercise_date: Option vests over a 3-year period, with 1/3 of the total number of shares subject to the option vesting on each of the first three anniversaries of June 21, 2024, subject to acceleration and the Reporting Person's continuous service to the Issuer on each such vesting date.

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June 27, 2024 Filed Jul 1, 2024 20:41 UTC ALUMIS INC. ALMS · Entity 4816 GrantStock Option (Right to Buy) · Derivative 38,000 $0.00 Strike: $16.00 $0.00
Disclosure

SEC source: 0001415889-24-018604 · form4-07012024_080733.xml · derivative · entry 1

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,000

Underlying: Class A Common Stock · 38,000 shares

Expires 2034-06-26

F1 · derivative.exercise_date: Option vests over a 3-year period, with 1/3 of the total number of shares subject to the option vesting on each of the first three anniversaries of June 21, 2024, subject to acceleration and the Reporting Person's continuous service to the Issuer on each such vesting date.

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June 17, 2024 Filed Jun 20, 2024 20:43 UTC Adverum Biotechnologies, Inc. ADVM · Entity 71889 GrantStock Option (Right to Buy) · Derivative 3,300 $0.00 Strike: $7.32 $0.00
Disclosure

SEC source: 0001415889-24-017672 · form4-06202024_080655.xml · derivative · entry 2

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,300

Underlying: Common Stock · 3,300 shares

Expires 2034-06-16

F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable on the earlier of June 17, 2025 or the 2025 annual meeting of stockholders, subject to (1) accelerated vesting upon a change of control and (2) the Reporting Person's continued service with the Issuer on the vesting date.

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June 17, 2024 Filed Jun 20, 2024 20:43 UTC Adverum Biotechnologies, Inc. ADVM · Entity 71889 GrantStock Option (Right to Buy) · Derivative 10,520 $0.00 Strike: $7.32 $0.00
Disclosure

SEC source: 0001415889-24-017672 · form4-06202024_080655.xml · derivative · entry 1

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,520

Underlying: Common Stock · 10,520 shares

Expires 2034-06-16

F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable on the earlier of June 17, 2025 or the 2025 annual meeting of stockholders, subject to (1) accelerated vesting upon a change of control and (2) the Reporting Person's continued service with the Issuer on the vesting date.

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June 07, 2024 Filed Jun 11, 2024 23:09 UTC ACELYRIN, Inc. SLRN · Entity 79310 GrantDirector Stock Option (right to buy) · Derivative 92,158 $0.00 Strike: $4.46 $0.00
Disclosure

SEC source: 0001962918-24-000089 · wk-form4_1718147390.xml · derivative · entry 1

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,158

Underlying: Common Stock · 92,158 shares

Expires 2034-06-06

F1 · derivative.exercise_date: All of the shares subject to the option vest on the earlier of (i) June 7, 2025, or (ii) the day immediately preceding the next annual meeting of stockholders following the grant date of the option, subject to the Reporting Person's continued service as a director through the vesting date.

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June 06, 2024 Filed Jun 7, 2024 22:20 UTC Arcus Biosciences, Inc. RCUS · Entity 4104 GrantStock Option (Right to Buy) · Derivative 24,000 $0.00 Strike: $15.90 $0.00
Disclosure

SEC source: 0001724521-24-000113 · wk-form4_1717798823.xml · derivative · entry 2

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2034-06-05

F2 · derivative.exercise_date: The option will vest in full on the earlier of June 6, 2025 or the next annual meeting of stockholders of the issuer. The option will become fully vested and exercisable in the event the Company is subject to a change in control.

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June 06, 2024 Filed Jun 7, 2024 22:20 UTC Arcus Biosciences, Inc. RCUS · Entity 4104 GrantCommon Stock 8,400 $0.00 $0.00
Disclosure

SEC source: 0001724521-24-000113 · wk-form4_1717798823.xml · nonDerivative · entry 1

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,300

F1 · shares: Represents the grant of restricted stock units that vest in full on the earlier of June 6, 2025 or the next annual meeting of stockholders of the issuer. The RSUs will become fully vested in the event the Company is subject to a change in control.

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June 05, 2024 Filed Jun 5, 2024 21:42 UTC Xenon Pharmaceuticals Inc. XENE · Entity 2602 GrantStock Option (Right to Buy) · Derivative 15,542 $0.00 Strike: $38.16 $0.00
Disclosure

SEC source: 0000950170-24-069467 · ownership.xml · derivative · entry 1

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,542

Underlying: Common Shares · 15,542 shares

Expires 2034-06-04

F1 · derivative.exercise_date: Vesting 100% on the earlier of (i) June 4, 2025 or (ii) the day before the date of the issuer's 2025 annual meeting of shareholders.

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October 04, 2023 Filed Oct 6, 2023 21:56 UTC ACELYRIN, Inc. SLRN · Entity 79310 OtherCommon Stock 14,675 $0.00 $0.00
Disclosure

SEC source: 0001962918-23-000037 · wk-form4_1696629358.xml · nonDerivative · entry 1

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 14,675

F1 · kind: Represents a pro rata, in-kind distribution, and not a purchase or sale of securities, from Woodland Hills Partner LLC (the "LLC") to the Reporting Person, a limited partner of the LLC, without additional consideration. This distribution arises from the purchase of preferred stock by the Reporting Person as a limited partner in the LLC on the same pricing terms as the other participating investors in each round of financing.

F2 · ownership.nature: Shares held directly by Patrick Machado Revocable Trust, Patrick Machado, TEE, for which the Reporting Person serves as trustee.

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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.