1. Title of Derivate Security
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date (Month/Day/Year)
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3A. Deemed Execution Date, if any (Month/Day/Year)
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4. Transaction Code
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
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8. Price of Derivative Security
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
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11. Nature of Indirect Beneficial Ownership
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expriation Date
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Title
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Amount or Number of Shares
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(*) |
If the form is filed by more than one reporting person, see Instruction 5(b)(v).
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(**) |
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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(1) |
Disposed of pursuant to the merger agreement between the issuer and Syros Pharmaceuticals, Inc. ("Syros") in exchange for 4,601 shares of Syros common stock having a market value of $7.30 per share at the close of trading on September 15, 2022, the last trading day immediately preceding the effective time of the merger, but after giving effect to a 1-for-10 reverse stock split by Syros (the "Reverse Split"), with cash paid in lieu of fractional shares.
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(2) |
Disposed of pursuant to the merger agreement between the issuer and Syros in exchange for 6 shares of Syros common stock after giving effect to the Reverse Split, with cash paid in lieu of fractional shares.
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(3) |
150 shares are owned by Mr. Biehl's spouse.
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(4) |
This option was fully vested and assumed by Syros in the merger and replaced with an option to purchase 21,910 shares of Syros common stock for $55.23 per share, after giving effect to the Reverse Split.
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(5) |
This option was fully vested and assumed by Syros in the merger and replaced with an option to purchase 11,095 shares of Syros common stock for $35.60 per share, after giving effect to the Reverse Split.
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(6) |
This option was fully vested and assumed by Syros in the merger and replaced with an option to purchase 15,775 shares of Syros common stock for $31.72 per share, after giving effect to the Reverse Split.
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(7) |
This option was fully vested and assumed by Syros in the merger and replaced with an option to purchase 21,910 shares of Syros common stock for $32.63 per share, after giving effect to the Reverse Split.
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(8) |
This option was fully vested and assumed by Syros in the merger and replaced with an option to purchase 21,130 shares of Syros common stock for $7.30 per share, after giving effect to the Reverse Split.
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(9) |
This option was fully vested and assumed by Syros in the merger and replaced with an option to purchase 547 shares of Syros common stock for $67.32 per share, after giving effect to the Reverse Split.
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(10) |
This option was fully vested and assumed by Syros in the merger and replaced with an option to purchase 547 shares of Syros common stock for $67.32 per share, after giving effect to the Reverse Split.
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(11) |
This option was fully vested and assumed by Syros in the merger and replaced with an option to purchase 3,286 shares of Syros common stock for $66.18 per share, after giving effect to the Reverse Split.
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Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
Instruction 6 for procedure.Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.