| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | NGM | Common Stock | Disposition pursuant to a tender of shares in a change of control transaction | -24K | -100% | 0 | Apr 5, 2024 | Direct | F1 | ||
| transaction | NGM | Common Stock | Disposition pursuant to a tender of shares in a change of control transaction | -97.7K | -100% | 0 | Apr 5, 2024 | See footnote | F2, F3 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | NGM | Restricted Stock Unit | Disposed to Issuer | -95.4K | -100% | 0 | Apr 5, 2024 | Common Stock | 95.4K | Direct | F1, F4, F5 | |||
| transaction | NGM | Stock Option (Right to Buy) | Disposed to Issuer | -255K | -100% | 0 | Apr 5, 2024 | Common Stock | 255K | $0.84 | Direct | F1, F6 | ||
| transaction | NGM | Stock Option (Right to Buy) | Disposed to Issuer | -87K | -100% | 0 | Apr 5, 2024 | Common Stock | 87K | $0.84 | Direct | F1, F6 | ||
| transaction | NGM | Stock Option (Right to Buy) | Disposed to Issuer | -57.8K | -100% | 0 | Apr 5, 2024 | Common Stock | 57.8K | $0.84 | Direct | F1, F6 | ||
| transaction | NGM | Stock Option (Right to Buy) | Disposed to Issuer | -500K | -100% | 0 | Apr 5, 2024 | Common Stock | 500K | $0.84 | Direct | F1, F6 | ||
| transaction | NGM | Stock Option (Right to Buy) | Disposed to Issuer | -200K | -100% | 0 | Apr 5, 2024 | Common Stock | 200K | $0.84 | Direct | F1, F6 | ||
| transaction | NGM | Stock Option (Right to Buy) | Disposed to Issuer | -400K | -100% | 0 | Apr 5, 2024 | Common Stock | 400K | $0.84 | Direct | F1, F6 | ||
| transaction | NGM | Stock Option (Right to Buy) | Disposed to Issuer | -450K | -100% | 0 | Apr 5, 2024 | Common Stock | 450K | $0.84 | Direct | F1, F6 | ||
| transaction | NGM | Stock Option (Right to Buy) | Disposed to Issuer | -500K | -100% | 0 | Apr 5, 2024 | Common Stock | 500K | $0.84 | Direct | F1, F6 | ||
| transaction | NGM | Stock Option (Right to Buy) | Disposed to Issuer | -382K | -100% | 0 | Apr 5, 2024 | Common Stock | 382K | $4.36 | Direct | F1, F6 | ||
| transaction | NGM | Stock Option (Right to Buy) | Disposed to Issuer | -500K | -100% | 0 | Apr 5, 2024 | Common Stock | 500K | $4.36 | Direct | F1, F6 |
David J. Woodhouse is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.
| Id | Content |
|---|---|
| F1 | This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger entered into by and among the Issuer, Atlas Neon Parent, Inc. ("Parent") and Atlas Neon Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Purchaser"), dated as of February 25, 2024 ("Merger Agreement"), pursuant to which the Purchaser completed a tender offer for the shares of common stock of the Issuer and thereafter merged with and into the Issuer effective as of April 5, 2024 (the "Effective Time"). Pursuant to the terms of the Merger Agreement and Purchaser's offer to purchase, the shares of common stock were tendered to Purchaser in consideration for a per share price of $1.55 in cash, subject to applicable tax withholding and without interest (the "Offer Price"). |
| F2 | Disposed of pursuant to a Rollover Agreement between, inter alia, Dr. Woodhouse, Parent and Purchaser, in exchange for shares in Parent. |
| F3 | Shares held by The Woodhouse Family Trust 9/8/05. |
| F4 | Each Restricted Stock Unit represents a contingent right to receive one share of Common Stock. Pursuant to the Merger Agreement, as of the Effective Time, each outstanding Restricted Stock Unit was canceled and the holder of such canceled Restricted Stock Unit was entitled to receive an amount in cash, without interest and less any withholding of taxes, equal to the Offer Price. |
| F5 | Restricted Stock Units do not have an expiration date. |
| F6 | Pursuant to the Merger Agreement, as of the Effective Time, the vesting of each outstanding unvested Stock Option that had a per share exercise price that was less than the Offer Price (an "In-the-Money Option") was accelerated, any applicable retention period for options that were repriced ended, and each outstanding In-the-Money Option (both vested and unvested) was canceled and the holder of such canceled Stock Option was entitled to receive an amount in cash, without interest and less any withholding of taxes, equal to the product of (i) the excess of the Offer Price over the applicable exercise price per share subject to such Stock Option multiplied by (ii) the total number of shares subject to such Stock Option. Each Stock Option that was not an In-the-Money Option (whether vested or unvested) was canceled as of the Effective Time for no consideration. |