Adam Dubow - 06 Nov 2023 Form 3 Insider Report for Day One Biopharmaceuticals, Inc. (DAWN)

Role
General Counsel
Signature
/s/ Charles N. York II, Attorney-in-Fact
Issuer symbol
DAWN
Transactions as of
06 Nov 2023
Net transactions value
$0
Form type
3
Filing time
16 Nov 2023, 20:39:16 UTC
Previous filing
03 Aug 2021
Next filing
17 Nov 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding DAWN Common Stock 3,141 06 Nov 2023 Direct

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
holding DAWN Stock Option (Right to Buy) 06 Nov 2023 Common Stock 309,000 $21.14 Direct F1
holding DAWN Stock Option (Right to Buy) 06 Nov 2023 Common Stock 90,000 $23.41 Direct F2
holding DAWN Restricted Stock Units 06 Nov 2023 Common Stock 47,400 Direct F3, F4
holding DAWN Restricted Stock Units 06 Nov 2023 Common Stock 22,750 Direct F4, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The option vests as to 25% of the total shares on October 31, 2023, and then 1/48th of the total shares vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
F2 The option vests as to 1/48th of the total shares monthly, commencing February 17, 2023, subject to the Reporting Person's provision of service to the Issuer on each vesting date.
F3 The Restricted Stock Units ("RSUs") vest as to 25% of the total award on November 15, 2023, and 1/12th of the remaining amount vests 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.
F4 Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration.
F5 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.

Remarks:

Exhibit 24 - Power of Attorney