| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | KA | Common Stock | Award | +61.6K | 61.6K | Dec 16, 2022 | By RLB Holdings, LLC | F1, F2 | |||
| transaction | KA | Common Stock | Award | +347K | 347K | Dec 16, 2022 | By RLB Holdings Connecticut LLC | F1, F2 | |||
| transaction | KA | Common Stock | Award | $4.34M | +376K | +108.25% | $11.55 | 723K | Dec 16, 2022 | RLB Holdings Connecticut LLC | F2, F3 |
| transaction | KA | Common Stock | Award | +4.1K | 4.1K | Dec 16, 2022 | Direct | F4, F5 | |||
| transaction | KA | Common Stock | Award | +860 | +21% | 4.96K | Dec 16, 2022 | Direct | F6, F7 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | KA | Stock Options (Right to Buy) | Award | +3.44K | 3.44K | Dec 16, 2022 | Common Stock | 3.44K | $26.16 | Direct | F8, F9 | |||
| transaction | KA | Stock Options (Right to Buy) | Award | +6.19K | 6.19K | Dec 16, 2022 | Common Stock | 6.19K | $29.06 | Direct | F10, F11 | |||
| transaction | KA | Stock Options (Right to Buy) | Award | +10.3K | 10.3K | Dec 16, 2022 | Common Stock | 10.3K | $23.25 | Direct | F12, F13 | |||
| transaction | KA | Warrants (Right to Buy) | Award | +34.4K | 34.4K | Dec 16, 2022 | Common Stock | 34.4K | $21.80 | RLB Holdings Connecticut LLC | F2, F14, F15 | |||
| transaction | KA | Warrants (Right to Buy) | Award | +60K | 60K | Dec 16, 2022 | Common Stock | 60K | $0.14 | RLB Holdings Connecticut LLC | F2, F14, F16 |
| Id | Content |
|---|---|
| F1 | Received in connection with the Issuer's merger (the "Merger") with Kineta, Inc. ("Legacy Kineta") in accordance with the terms of the Agreement and Plan of Merger dated as of June 5, 2022, as amended on December 5, 2022 (the "Merger Agreement"), by and among the Issuer (f/k/a Yumanity Therapeutics, Inc.), Yacht Merger Sub, Inc. and Legacy Kineta. Pursuant to the terms of the Merger Agreement, each outstanding share of Legacy Kineta common stock was entitled to receive 0.0688 shares of Common Stock. The Merger closed on December 16, 2022. |
| F2 | The Reporting Person is a managing member of RLB Holdings, LLC ("RLB Holdings") and RLB Holdings Connecticut LLC ("RLB Connecticut") and shares voting and dispositive power over the shares held by RLB Holdings and RLB Connecticut. As such, the Reporting Person may be deemed to beneficially own such shares held by RLB Holdings and RLB Connecticut. |
| F3 | Represents shares of Common Stock acquired by RLB Connecticut immediately following the Merger in a private placement pursuant to a Securities Purchase Agreement dated as of June 5, 2022 and as amended on October 24, 2022 and December 5, 2022. The issuance of the shares to RLB Connecticut was approved by the Company's board of directors in the manner contemplated by Rule 16b-3 under the Securities Exchange Act of 1934, as amended. |
| F4 | Represents shares of Common Stock underlying a time-based restricted stock unit award ("RSU"). The RSU will vest in full on June 14, 2023, subject to the continuing service of the Reporting Person on such vesting date. |
| F5 | Received in connection with the Merger in exchange for 59,545 shares of common stock underlying a Legacy Kineta RSU. |
| F6 | Represents shares of Common Stock underlying a time-based RSU. The RSU will vest in full on March 16, 2023, subject to the continuing service of the Reporting Person on such vesting date. |
| F7 | Received in connection with the Merger in exchange for 12,500 shares of common stock underlying a Legacy Kineta RSU. |
| F8 | The stock option vested as to 1/3 of the total number of shares on May 27, 2021, an additional 1/3 of the total number of shares vested on May 27, 2022, and the remaining 1/3 of the total number of shares will vest on May 27, 2023, subject to the continuing service of the Reporting Person on each vesting date. |
| F9 | Received in connection with the Merger in exchange for options to acquire 50,000 shares of Legacy Kineta common stock for $1.80 per share. |
| F10 | The stock option vested as to 1/3 of the total number of shares on February 10, 2021, an additional 1/3 of the total number of shares vested on February 10, 2022, and the remaining 1/3 of the total number of shares will vest on February 10, 2023, subject to the continuing service of the Reporting Person on each vesting date. |
| F11 | Received in connection with the Merger in exchange for options to acquire 90,000 shares of Legacy Kineta common stock for $2.00 per share. |
| F12 | The stock option is fully vested and exercisable. |
| F13 | Received in connection with the Merger in exchange for options to acquire 150,000 shares of Legacy Kineta common stock for $1.60 per share. |
| F14 | The warrants are immediately exercisable in full. |
| F15 | Received in connection with the Merger in exchange for warrants to acquire 500,000 shares of Legacy Kineta common stock for $1.50 per share. |
| F16 | Received in connection with the Merger in exchange for warrants to acquire 872,364 shares of Legacy Kineta common stock for $0.01 per share. |