GSK plc - Jun 16, 2021 Form 3 Insider Report for Lyell Immunopharma, Inc. (LYEL)

Role
10%+ Owner
Signature
/s/ V. Whyte, Authorized Signatory, GlaxoSmithKline plc
Stock symbol
LYEL
Transactions as of
Jun 16, 2021
Transactions value $
$0
Form type
3
Date filed
6/17/2021, 05:56 PM
Previous filing
May 24, 2021
Next filing
Jun 23, 2021

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 LYEL Series AA Preferred Stock Jun 16, 2021 Common Stock 30.3M See footnote F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The Series AA Preferred Stock is convertible into common stock on a 1-for-1 basis into the number of shares of common stock shown in Column 3 without payment of further consideration at the holder's election and automatically upon closing of the initial public offering of the Issuer's common stock. The shares have no expiration date.
F2 The shares reported herein are held of record by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").