Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-22-035825
Date:2021-06-08
Issuer: LYELL IMMUNOPHARMA, INC. (LYEL)
Original Submission Date:

Reporting Person:

KLAUSNER RICHARD
C/O LYELL IMMUNOPHARMA, INC.
201 HASKINS WAY 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 2021-06-08 0 $0.00 2,967,834 direct
COMMON STOCK 2021-06-08 0 $0.00 1,000,000 indirect f1
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
OPTION (RIGHT TO BUY) 5.31 2022-06-08 deemed execution date A 65,000 (a) 2032-06-07 common stock 65,000 $5.31 65,000 direct
Footnotes
IDfootnote
f1 consists of 250,000 shares held by each of the ariella klausner delaware trust, the eli klausner delaware trust, the isaac klausner delaware trust, and the olivia klausner delaware trust. the reporting person is a trustee of each of the trusts and disclaims beneficial ownership of all shares held by the trusts except to any pecuniary interest therein.
f2 the option shares shall vest on the earlier of (a) the date of the next annual meeting of the stockholders that occurs following june 8, 2022 (or the date immediately prior to such date if the reporting person's service as a director ends at such annual meeting due to the reporting person's failure to be reelectedor the reporting person not standing for re-election); or (b) the first anniversary of june 8, 2022, subject to the reporting personproviding continuous service through such date.
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