Samuel C. Blackman - Aug 15, 2023 Form 4 Insider Report for Day One Biopharmaceuticals, Inc. (DAWN)

Role
Head of Research and Developme
Signature
/s/ Charles N. York II, Attorney-in-Fact
Stock symbol
DAWN
Transactions as of
Aug 15, 2023
Transactions value $
-$9,258
Form type
4
Date filed
8/17/2023, 06:21 PM
Previous filing
Jun 7, 2023
Next filing
Nov 17, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction DAWN Common Stock Options Exercise +1.19K +0.1% 1.24M Aug 15, 2023 Direct F1
transaction DAWN Common Stock Options Exercise +1.44K +0.12% 1.24M Aug 15, 2023 Direct F1
transaction DAWN Common Stock Sale -$9.26K -668 -0.05% $13.86 1.24M Aug 17, 2023 Direct F2
holding DAWN Common Stock 1M Aug 15, 2023 See Footnote F3

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 Restricted Stock Units Options Exercise $0 -1.19K -9.99% $0.00 10.7K Aug 15, 2023 Common Stock 1.19K Direct F1, F4
transaction DAWN Restricted Stock Units Options Exercise $0 -1.44K -7.14% $0.00 18.7K Aug 15, 2023 Common Stock 1.44K Direct F1, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration.
F2 The sale of shares is for the sole purpose of covering the Reporting Person's tax liability with respect to the settlement of RSUs.
F3 The Reporting Person is the sole manager, and has shared voting and dispositive power with his wife as members. The Reporting Person continues to report beneficial ownership of all of the Issuer's Common Stock held by the 2021 Blackman Family LLC but disclaims beneficial ownership except to the extent of his and his wife's pecuniary interest therein.
F4 The RSUs will vest as to 1/16th of the total award in quarterly installments on February 15, May 15, August 15 and November 15, subject to the Reporting Person's provision of service to the Issuer on each vesting date.