WILLIAMS DOUGLAS E

SEC source: 0001628280-26-042863 · wk-form4_1781295377.xml · derivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,000

Underlying: Common Stock · 28,000 shares

Expires 2036-06-09

F1 · derivative.exercise_date: The shares underlying the option vest in their entirety on the earlier of the first anniversary of the grant date or the date of the issuer's next annual meeting of stockholders, subject to continued service to the Company through the applicable vesting date.

SEC source: 0001193125-26-262287 · ownership.xml · derivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2036-06-04

F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of June 5, 2027 or the date immediately prior to the date of the next annual meeting of stockholders, subject to the reporting person's continued service through such date.

SEC source: 0000950170-25-082322 · ownership.xml · derivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2035-06-03

F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of June 4, 2026 or the date immediately prior to the date of the next annual meeting of stockholders, subject to the reporting person's continued service through such date.

SEC source: 0000950170-25-048558 · ownership.xml · derivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,873

Underlying: Common Stock · 78,873 shares

Expires 2035-03-30

F1 · derivative.exercise_date: The shares underlying the option vest in equal monthly installments from November 8, 2024 (the "Vesting Commencement Date") until the third anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service.

SEC source: 0001736730-25-000012 · wk-form4_1742414964.xml · derivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,787

Underlying: Common Stock · 17,787 shares

Expires 2035-03-16

F1 · derivative.exercise_date: The shares underlying the option vest in equal monthly installments over a period of three years commencing from the date of grant.

SEC source: 0000950170-24-125717 · ownership.xml · derivative · entry 2

WILLIAMS DOUGLAS E · CIK 0001184847 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,291

Underlying: Common Stock · 6,291 shares

Expires 2034-11-10

F2 · derivative.exercise_date: The shares underlying the option vest on the earlier of June 26, 2025 or the day immediately prior to the next annual meeting of stockholders, subject to the Reporting Person's continued service.

SEC source: 0000950170-24-125717 · ownership.xml · derivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2034-11-10

F1 · derivative.exercise_date: The shares underlying the option vest in equal monthly installments from November 8, 2024 (the "Vesting Commencement Date") until the third anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service.

SEC source: 0001562180-24-002480 · primarydocument.xml · derivative · entry 2

WILLIAMS DOUGLAS E · CIK 0001184847 · EVP & President, R&D

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 301,875

Underlying: Common Stock · 301,875 shares

Expires 2034-03-06

F3 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the underlying shares on March 7, 2025 and in 36 equal monthly installments thereafter, provided that the reporting person provides continuous service to Sana as an employee, consultant, director or officer of Sana through each such date.

SEC source: 0001562180-24-002480 · primarydocument.xml · derivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · EVP & President, R&D

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,083

Underlying: Common Stock · 67,083 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Sana Biotechnology, Inc. ("Sana") common stock.

F2 · derivative.exercise_date: The restricted stock units vest in four equal installments on each of March 7, 2025, 2026, 2027 and 2028, provided that the reporting person provides continuous service to Sana as an employee, consultant, director or officer of Sana through each such date.

F2 · derivative.expiration_date: The restricted stock units vest in four equal installments on each of March 7, 2025, 2026, 2027 and 2028, provided that the reporting person provides continuous service to Sana as an employee, consultant, director or officer of Sana through each such date.

SEC source: 0001562180-23-007553 · primarydocument.xml · derivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · EVP & President, R&D

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Sana Biotechnology, Inc. ("Sana") common stock.

F2 · derivative.exercise_date: The restricted stock units will vest in full on January 2, 2025, provided that the reporting person provides continuous service to Sana as an employee, consultant, director or officer of Sana through such date.

F2 · derivative.expiration_date: The restricted stock units will vest in full on January 2, 2025, provided that the reporting person provides continuous service to Sana as an employee, consultant, director or officer of Sana through such date.

SEC source: 0001562180-23-003514 · primarydocument.xml · derivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · EVP & President, R&D

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,100,000

Underlying: Common Stock · 1,100,000 shares

Expires 2033-04-09

F1 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the underlying shares on April 10, 2024 and in 36 equal monthly installments thereafter.

SEC source: 0000950170-23-011025 · ownership.xml · nonDerivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,655

SEC source: 0000899243-23-005695 · doc4.xml · nonDerivative · entry 4

WILLIAMS DOUGLAS E · CIK 0001184847 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,322

F2 · kind: The sales reported in this Form 4 were effected to cover tax withholding obligations in connection with the vesting of RSUs pursuant to a "sell to cover" provision included in the RSU Agreement.

SEC source: 0000899243-23-005695 · doc4.xml · derivative · entry 6

WILLIAMS DOUGLAS E · CIK 0001184847 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,937

Underlying: Common Stock · 22,969 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of common stock.

F4 · derivative.exercise_date: On February 16, 2022, the reporting person was granted 91,875 RSUs, vesting in four equal installments every six months beginning on the six month anniversary of the grant date.

F4 · derivative.expiration_date: On February 16, 2022, the reporting person was granted 91,875 RSUs, vesting in four equal installments every six months beginning on the six month anniversary of the grant date.

SEC source: 0000899243-23-005695 · doc4.xml · nonDerivative · entry 3

WILLIAMS DOUGLAS E · CIK 0001184847 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,003

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis.

SEC source: 0000899243-23-002751 · doc4.xml · derivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 465,000

Underlying: Common Stock · 465,000 shares

Expires 2033-01-23

F1 · derivative.exercise_date: 25% of this option shall vest and become exercisable on January 24, 2024, with the remainder vesting in 12 equal quarterly installments thereafter.

SEC source: 0000899243-23-002399 · doc4.xml · nonDerivative · entry 2

WILLIAMS DOUGLAS E · CIK 0001184847 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,177

F2 · kind: The sales reported in this Form 4 were effected to cover tax withholding obligations in connection with the vesting of RSUs pursuant to a "sell to cover" provision included in the RSU Agreement.

SEC source: 0000899243-23-002399 · doc4.xml · derivative · entry 3

WILLIAMS DOUGLAS E · CIK 0001184847 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,333

Underlying: Common Stock · 13,667 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of common stock.

F4 · derivative.exercise_date: On January 19, 2022, the reporting person was granted 41,000 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.

F4 · derivative.expiration_date: On January 19, 2022, the reporting person was granted 41,000 RSUs, vesting in three equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0000899243-23-002399 · doc4.xml · nonDerivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,252

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis.

SEC source: 0000899243-23-005695 · doc4.xml · nonDerivative · entry 2

WILLIAMS DOUGLAS E · CIK 0001184847 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,034

F2 · kind: The sales reported in this Form 4 were effected to cover tax withholding obligations in connection with the vesting of RSUs pursuant to a "sell to cover" provision included in the RSU Agreement.

SEC source: 0000899243-23-005695 · doc4.xml · derivative · entry 5

WILLIAMS DOUGLAS E · CIK 0001184847 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,906

Underlying: Common Stock · 22,969 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of common stock.

F4 · derivative.exercise_date: On February 16, 2022, the reporting person was granted 91,875 RSUs, vesting in four equal installments every six months beginning on the six month anniversary of the grant date.

F4 · derivative.expiration_date: On February 16, 2022, the reporting person was granted 91,875 RSUs, vesting in four equal installments every six months beginning on the six month anniversary of the grant date.

SEC source: 0000899243-23-005695 · doc4.xml · nonDerivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,146

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis.

SEC source: 0000899243-22-007010 · doc4.xml · derivative · entry 2

WILLIAMS DOUGLAS E · CIK 0001184847 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,875

Underlying: Common Stock · 91,875 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: On February 16, 2022, the reporting person was granted 91,875 restricted stock units, vesting in four equal installments every six months beginning on the six month anniversary of the grant date.

F3 · derivative.expiration_date: On February 16, 2022, the reporting person was granted 91,875 restricted stock units, vesting in four equal installments every six months beginning on the six month anniversary of the grant date.

SEC source: 0000899243-22-007010 · doc4.xml · derivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,250

Underlying: Common Stock · 61,250 shares

Expires 2032-02-15

F1 · derivative.exercise_date: 25% of this option shall vest and become exercisable on February 16, 2023, with the remainder vesting in 12 equal quarterly installments thereafter.

SEC source: 0000899243-22-002866 · doc4.xml · derivative · entry 2

WILLIAMS DOUGLAS E · CIK 0001184847 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,000

Underlying: Common Stock · 41,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: On January 19, 2022, the reporting person was granted 41,000 restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date.

F3 · derivative.expiration_date: On January 19, 2022, the reporting person was granted 41,000 restricted stock units, vesting in three equal annual installments beginning on the first anniversary of the grant date.

SEC source: 0000899243-22-002866 · doc4.xml · derivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2032-01-18

F1 · derivative.exercise_date: 25% of this option shall vest and become exercisable on January 19, 2023, with the remainder vesting in 12 equal quarterly installments thereafter.

SEC source: 0001209191-21-033831 · doc4.xml · derivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,750

Underlying: Common Stock · 1,750 shares

Expires 2031-05-16

F1 · derivative.exercise_date: The option will vest in full on June 5, 2021, subject to the Reporting Person's continuous service through such vesting date.

SEC source: 0000899243-21-003309 · doc4.xml · derivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2031-01-21

F1 · derivative.exercise_date: 25% of this option shall vest and become exercisable on January 22, 2022, with the remainder vesting in 12 equal quarterly installments thereafter.

SEC source: 0000899243-20-028806 · doc4.xml · derivative · entry 2

WILLIAMS DOUGLAS E · CIK 0001184847 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,585 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each share of Series C Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-6.8855 basis upon the closing of the Issuer's initial public offering on October 16, 2020 and had no expiration date. The reporting person previously reported shares of common stock into which the Series C Preferred Stock was convertible based on a 1-for-6.8758 conversion ratio estimated at pricing of the Issuer's initial public offering, which reflected a fixed conversion price plus an estimated adjustment based on the issuance of shares in the Issuer's initial public offering.

F1 · price: Each share of Series C Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-6.8855 basis upon the closing of the Issuer's initial public offering on October 16, 2020 and had no expiration date. The reporting person previously reported shares of common stock into which the Series C Preferred Stock was convertible based on a 1-for-6.8758 conversion ratio estimated at pricing of the Issuer's initial public offering, which reflected a fixed conversion price plus an estimated adjustment based on the issuance of shares in the Issuer's initial public offering.

F1 · derivative.exercise_date: Each share of Series C Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-6.8855 basis upon the closing of the Issuer's initial public offering on October 16, 2020 and had no expiration date. The reporting person previously reported shares of common stock into which the Series C Preferred Stock was convertible based on a 1-for-6.8758 conversion ratio estimated at pricing of the Issuer's initial public offering, which reflected a fixed conversion price plus an estimated adjustment based on the issuance of shares in the Issuer's initial public offering.

F1 · derivative.expiration_date: Each share of Series C Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-6.8855 basis upon the closing of the Issuer's initial public offering on October 16, 2020 and had no expiration date. The reporting person previously reported shares of common stock into which the Series C Preferred Stock was convertible based on a 1-for-6.8758 conversion ratio estimated at pricing of the Issuer's initial public offering, which reflected a fixed conversion price plus an estimated adjustment based on the issuance of shares in the Issuer's initial public offering.

SEC source: 0000899243-20-028806 · doc4.xml · nonDerivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,585

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each share of Series C Preferred Stock automatically converted into the Issuer's Common Stock on a 1-for-6.8855 basis upon the closing of the Issuer's initial public offering on October 16, 2020 and had no expiration date. The reporting person previously reported shares of common stock into which the Series C Preferred Stock was convertible based on a 1-for-6.8758 conversion ratio estimated at pricing of the Issuer's initial public offering, which reflected a fixed conversion price plus an estimated adjustment based on the issuance of shares in the Issuer's initial public offering.

SEC source: 0001209191-20-035041 · doc4.xml · derivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,250

Underlying: Common Stock · 13,250 shares

Expires 2030-06-04

F1 · derivative.exercise_date: The option will vest in full on June 5, 2021, subject to the Reporting Person's continuous service through such vesting date.

SEC source: 0001209191-19-056750 · doc4.xml · derivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,437

Underlying: Common Stock · 7,437 shares

Expires 2029-11-12

F1 · derivative.exercise_date: The option will vest in full on November 13, 2020, subject to the Reporting Person's continuous service through such vesting date.

SEC source: 0001209191-19-044055 · doc4a.xml · derivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,813

Underlying: Common Stock · 5,813 shares

Expires 2029-06-09

F1 · security: This Amended Form 4 is being filed to correct inaccuracies with respect to the transaction date and exercise price of the stock options and reported in Table II of the Form 4 filed on June 10, 2019.

F2 · derivative.exercise_date: The option will vest in full on June 10, 2020, subject to the Reporting Person's continuous service through such vesting date.

SEC source: 0001209191-19-035795 · doc4.xml · derivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,813

Underlying: Common Stock · 5,813 shares

Expires 2029-06-06

F1 · derivative.exercise_date: The option will vest in full on June 7, 2020, subject to the Reporting Person's continuous service through such vesting date.

SEC source: 0001209191-19-023423 · doc4.xml · nonDerivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,800

F1 · price: Represents the forfeiture of 4,056 shares of restricted stock in connection with the reporting person's transition off of the Board of Directors of Ironwood Pharmaceuticals, Inc.

SEC source: 0001209191-18-047229 · doc4.xml · nonDerivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.43 to $6.50 inclusive. The reporting person undertakes to provide to Ovid Therapeutics Inc., any security holder of Ovid Therapeutics Inc., or staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this Footnote 1 to this Form 4.

SEC source: 0001209191-18-036753 · doc4.xml · derivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,813

Underlying: Common Stock · 5,813 shares

Expires 2028-06-06

F1 · derivative.exercise_date: The option will vest in full on June 7, 2019, subject to the Reporting Person's continuous service through such vesting date.

SEC source: 0001209191-18-035257 · doc4.xml · nonDerivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,856

F1 · kind: Issued pursuant to the Director Compensation Plan, effective as of January 2014.

SEC source: 0001209191-17-037357 · doc4.xml · nonDerivative · entry 1

WILLIAMS DOUGLAS E · CIK 0001184847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,633

F1 · kind: Issued pursuant to the Director Compensation Plan, effective as of January 2014.