Form Type: 4

SEC EDGAR Link
Accession Number:0001567619-21-017166
Date:2021-09-13
Issuer: ANNEXON, INC. (ANNX)
Original Submission Date:

Reporting Person:

YEDNOCK TED
C/O ANNEXON, INC.
180 KIMBALL WAY, SUITE 200 SOUTH SAN FRANCISCO, CA 94080

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 2021-09-13 M 15,000 a $1.41 15,000 direct
COMMON STOCK 2021-09-13 M 1,190 a $5.11 16,190 direct
COMMON STOCK 2021-09-13 S 16,190 d $20.00 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
STOCK OPTION (RIGHT TO BUY) 1.4096 2021-09-13 deemed execution date M 15,000 (d) 2025-01-22 common stock 15,000 $1.41 10,615 direct
STOCK OPTION (RIGHT TO BUY) 5.1098 2021-09-13 deemed execution date M 1,190 (d) 2029-01-22 common stock 1,190 $5.11 67,939 direct
Footnotes
IDfootnote
f1 the transactions reported herein were effected pursuant to the reporting person's rule 10b5-1 trading plan.
f2 this transaction was executed in multiple trades in prices ranging from $20.00 to $20.04, inclusive. the price reported in column 4 above reflects the weighted average sale price. the reporting person hereby undertakes to provide to the securities and exchange commission staff, the issuer, or a security holder of the issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.
f3 the shares subject to the option vest are fully vested and exercisable.
f4 1/48th of the shares subject to the option vest on each monthly anniversary measured from december 12, 2018 (the "vesting commencement date"), such that 100% of the shares subject to the option will be fully vested and exercisable on the fourth anniversary of the vesting commencement date.

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