SPRINGWORKS THERAPEUTICS, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 33 rows, 33 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-09-17: Reporting owner Lewis-Hall Freda C; Form 4; Security Junior Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2019-09-17: Reporting owner Lewis-Hall Freda C; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2019-09-17: Reporting owner Lewis-Hall Freda C; Form 4; Security Series B Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2019-09-17: Reporting owner SQUINTO STEPHEN P; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-09-17 | Lewis-Hall Freda C Director, 10% Owner | 4 | Junior Series A Convertible Preferred Stock Derivative · Indirect · By: Pfizer Inc. | C Conversion of derivative security | −978,194 0 owned after | no price filed | 2019-09-19 | |
| 2019-09-17 | Lewis-Hall Freda C Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · By: Pfizer Inc. | C Conversion of derivative security | −3,039,051 0 owned after | no price filed | 2019-09-19 | |
| 2019-09-17 | Lewis-Hall Freda C Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By: Pfizer Ventures (US) LLC | C Conversion of derivative security | −526,602 0 owned after | no price filed | 2019-09-19 | |
| 2019-09-17 | SQUINTO STEPHEN P Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −6,078,103 0 owned after | no price filed | 2019-09-19 | |
| 2019-09-17 | SQUINTO STEPHEN P Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,053,204 0 owned after | no price filed | 2019-09-19 | |
| 2019-09-17 | ORBIMED ADVISORS LLC | OrbiMed Capital GP VI LLC 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −6,078,103 0 owned after | no price filed | 2019-09-19 | |
| 2019-09-17 | ORBIMED ADVISORS LLC | OrbiMed Capital GP VI LLC 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −1,053,204 0 owned after | no price filed | 2019-09-19 | |
| 2019-09-17 | BC SW, LP | Bain Capital Life Sciences Investors, LLC | Koppel Adam | Schwartz Jeffrey Lawrence 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −6,078,103 0 owned after | no price filed | 2019-09-19 | |
| 2019-09-17 | BC SW, LP | Bain Capital Life Sciences Investors, LLC | Koppel Adam | Schwartz Jeffrey Lawrence 10% Owner | 10% Owner | 10% Owner | Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −1,053,204 0 owned after | no price filed | 2019-09-19 | |
| 2019-09-17 | PFIZER INC | Pfizer Ventures (US) LLC 10% Owner | 10% Owner | 4 | Junior Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −6,437,500 0 owned after | $0.00 | 2019-09-19 | |
| 2019-09-17 | PFIZER INC | Pfizer Ventures (US) LLC 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −20,000,000 0 owned after | $0.00 | 2019-09-19 | |
| 2019-09-17 | PFIZER INC | Pfizer Ventures (US) LLC 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,465,571 0 owned after | $0.00 | 2019-09-19 | |
| 2019-09-12 holding as of filing | PFIZER INC | Pfizer Ventures (US) LLC 10% Owner | 10% Owner | 3 | Junior Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | PFIZER INC | Pfizer Ventures (US) LLC 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | PFIZER INC | Pfizer Ventures (US) LLC 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | ORBIMED ADVISORS LLC 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · By OrbiMed Capital GP VI LLC | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | ORBIMED ADVISORS LLC 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · By OrbiMed Capital GP VI LLC | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Lewis-Hall Freda C Director, 10% Owner | 3 | Junior Series A Convertible Preferred Stock Derivative · Indirect · By Pfizer Inc. | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Lewis-Hall Freda C Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · By Pfizer Inc. | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | Lewis-Hall Freda C Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · By Pfizer Ventures (US) LLC | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | SQUINTO STEPHEN P Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | SQUINTO STEPHEN P Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | BC SW, LP | Bain Capital Life Sciences Investors, LLC | Schwartz Jeffrey Lawrence | Koppel Adam 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | BC SW, LP | Bain Capital Life Sciences Investors, LLC | Schwartz Jeffrey Lawrence | Koppel Adam 10% Owner | 10% Owner | Director, 10% Owner | 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | GORDON CARL L Director, 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · By OrbiMed Capital GP VI LLC | Holding | no price filed | 2019-09-12 | ||
| 2019-09-12 holding as of filing | GORDON CARL L Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · By OrbiMed Capital GP VI LLC | Holding | no price filed | 2019-09-12 | ||
| 2019-03-29 | Lewis-Hall Freda C Director, 10% Owner | 4 | Junior Series A Convertible Preferred Stock Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,437,500 978,194 owned after | no price filed | 2019-09-16 | |
| 2019-03-29 | Lewis-Hall Freda C Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000,000 3,039,051 owned after | no price filed | 2019-09-16 | |
| 2019-03-29 | Lewis-Hall Freda C Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +3,465,571 526,602 owned after | no price filed | 2019-09-16 | |
| 2019-03-29 | SQUINTO STEPHEN P Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000,000 6,078,103 owned after | no price filed | 2019-09-16 | |
| 2019-03-29 | SQUINTO STEPHEN P Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,931,142 1,053,204 owned after | no price filed | 2019-09-16 | |
| 2019-03-29 | Schwartz Jeffrey Lawrence Director, 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000,000 6,078,103 owned after | no price filed | 2019-09-16 | |
| 2019-03-29 | Schwartz Jeffrey Lawrence Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,931,142 1,053,204 owned after | no price filed | 2019-09-16 |