Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-21-031248
Date:2021-05-05
Issuer: PRELUDE THERAPEUTICS INC (PRLD)
Original Submission Date:

Reporting Person:

MAURO DAVID J
C/O PRELUDE THERAPEUTICS INCORPORATED
200 POWDER MILL ROAD WILMINGTON, DE 19803

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2021-05-05 M 15,000 a $1.89 15,000 direct
COMMON STOCK 2021-05-05 S 3,415 d $39.36 11,585 direct
COMMON STOCK 2021-05-05 S 10,476 d $40.30 1,109 direct
COMMON STOCK 2021-05-05 S 1,109 d $41.07 0 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
COMMON STOCK 1.89 2021-05-05 deemed execution date M 15,000 (d) 2029-06-16 common stock 15,000 $1.89 212,610 direct
Footnotes
IDfootnote
f1 the transactions reported on this form 4 were effected pursuant to a rule 10b5-1 trading plan adopted by the reporting person.
f2 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $38.70 to $39.69, inclusive. the reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.
f3 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $39.70 to $40.69, inclusive. the reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.
f4 the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $40.70 to $41.52, inclusive. the reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.
f5 the stock option vested as to 25% of the total shares monthly on may 1, 2020, and thereafter vests as to 1/48 of the total shares monthly until fully vested, subject to the reporting person's provision of service to the issuer on the vesting date.

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