Statement of Changes in Beneficial Ownership (4)
February 03 2021 - 6:42PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Peters Richard |
2. Issuer Name and Ticker or Trading Symbol
YUMANITY THERAPEUTICS, INC.
[
YMTX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President & CEO |
(Last)
(First)
(Middle)
C/O YUMANITY THERAPEUTICS, INC, 40 GUEST STREET, SUITE 4410 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/1/2021 |
(Street)
BOSTON, MA 02135
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 2/1/2021 | | A(1) | | 60943 | A | $0.00 | 60943 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $17.89 | 2/1/2021 | | A | | 120000 | | (2) | 1/31/2031 | Common Stock | 120000 | $0.00 | 120000 | D | |
Stock Option (Right to Buy) | $17.89 | 2/1/2021 | | A | | 60944 | | (3) | 1/31/2031 | Common Stock | 60944 | $0.00 | 60944 | D | |
Explanation of Responses: |
(1) | The shares reported in this transaction represent Restricted Stock Units ("RSUs"). Each RSU represents the contingent right to receive one share of the Issuer's Common Stock. The RSUs shall vest in four equal annual installments over four years following July 1, 2020. |
(2) | This option shall vest and become exercisable in 48 equal monthly installments over four years following the Grant Date. |
(3) | This option shall vest and become exercisable in 48 equal monthly installments over four years following July 1, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Peters Richard C/O YUMANITY THERAPEUTICS, INC 40 GUEST STREET, SUITE 4410 BOSTON, MA 02135 | X |
| President & CEO |
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Signatures
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/s/ Marie Epstein, Attorney-in-Fact | | 2/3/2021 |
**Signature of Reporting Person | Date |
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