AI Day1 LLC - Aug 1, 2024 Form 4 Insider Report for Day One Biopharmaceuticals, Inc. (DAWN)

Role
10%+ Owner
Signature
/s/ Alejandro Moreno for AI Day1 LLC
Stock symbol
DAWN
Transactions as of
Aug 1, 2024
Transactions value $
$11,999,914
Form type
4
Date filed
8/5/2024, 04:01 PM
Previous filing
Oct 20, 2023

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction DAWN Warrant (right to buy) Purchase $12M +828K $14.50 828K Aug 1, 2024 Common Stock 828K $0.00 Direct F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each pre-funded warrant is exercisable at any time after the date of issuance and the pre-funded warrants do not expire. The pre-funded warrants are not exercisable to the extent that the aggregate number of shares of Common Stock beneficially owned by AI Day1 LLC, including together with its direct or indirect affiliates, any person acting or who could be deemed to be acting as a group together with the holder, and any other persons whose beneficial ownership of the Common Stock would or could be aggregated with the holder's for the purposes of Section 13(d) or Section 16 of the Exchange Act of 1934, as amended, immediately following such exercise would exceed 9.99%; provided, however, that AI Day1 LLC may increase or decrease the beneficial ownership limitation by giving 61 days' notice to the Issuer, but not to exceed any percentage in excess of 19.99%.
F2 The securities reported are held directly by AI Day1 LLC and may be deemed to be beneficially owned by Access Industries Holdings LLC ("AIH"), Access Industries Management, LLC ("AIM") and Len Blavatnik because AIH indirectly controls all of the outstanding voting interests in AI Day1 LLC, AIM controls AIH and Mr. Blavatnik controls AIM and controls a majority of the outstanding voting interests in AIH. AIH, AIM and Mr. Blavatnik each disclaims beneficial ownership of these securities, except to the extent of its or his pecuniary interest therein, and this form shall not be construed as an admission that any such reporting person is the beneficial owner of any of the securities reported on this form.