0000899243-21-000109.txt : 20210104
0000899243-21-000109.hdr.sgml : 20210104
20210104163959
ACCESSION NUMBER: 0000899243-21-000109
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20201222
FILED AS OF DATE: 20210104
DATE AS OF CHANGE: 20210104
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Susan L. Lindquist Family Trust
CENTRAL INDEX KEY: 0001834895
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37695
FILM NUMBER: 21502278
BUSINESS ADDRESS:
STREET 1: C/O NANCY DEMPZE
STREET 2: HEMENWAY & BARNES, LLP, 75 STATE STREET
CITY: BOSTON
STATE: MA
ZIP: 02109
BUSINESS PHONE: 617-227-7940
MAIL ADDRESS:
STREET 1: C/O NANCY DEMPZE
STREET 2: HEMENWAY & BARNES, LLP, 75 STATE STREET
CITY: BOSTON
STATE: MA
ZIP: 02109
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Susan L. Lindquist Exempt Marital Trust
CENTRAL INDEX KEY: 0001834900
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37695
FILM NUMBER: 21502279
BUSINESS ADDRESS:
STREET 1: C/O NANCY E. DEMPZE
STREET 2: HEMENWAY & BARNES, LLP, 75 STATE STREET
CITY: BOSTON
STATE: MA
ZIP: 02109
BUSINESS PHONE: 617-227-7940
MAIL ADDRESS:
STREET 1: C/O NANCY E. DEMPZE
STREET 2: HEMENWAY & BARNES, LLP, 75 STATE STREET
CITY: BOSTON
STATE: MA
ZIP: 02109
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Susan L. Lindquist Massachusetts Non-Exempt Marital Trust
CENTRAL INDEX KEY: 0001834898
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37695
FILM NUMBER: 21502280
BUSINESS ADDRESS:
STREET 1: C/O NANCY DEMPZE
STREET 2: HEMENWAY & BARNES, LLP, 75 STATE STREET
CITY: BOSTON
STATE: MA
ZIP: 02109
BUSINESS PHONE: 617-227-7940
MAIL ADDRESS:
STREET 1: C/O NANCY DEMPZE
STREET 2: HEMENWAY & BARNES, LLP, 75 STATE STREET
CITY: BOSTON
STATE: MA
ZIP: 02109
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Susan L. Lindquist Massachusetts Only Marital Trust
CENTRAL INDEX KEY: 0001834888
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37695
FILM NUMBER: 21502281
BUSINESS ADDRESS:
STREET 1: C/O NANCY DEMPZE
STREET 2: HEMENWAY & BARNES, LLP, 75 STATE STREET
CITY: BOSTON
STATE: MA
ZIP: 02109
BUSINESS PHONE: 617-227-7940
MAIL ADDRESS:
STREET 1: C/O NANCY DEMPZE
STREET 2: HEMENWAY & BARNES, LLP, 75 STATE STREET
CITY: BOSTON
STATE: MA
ZIP: 02109
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: YUMANITY THERAPEUTICS, INC.
CENTRAL INDEX KEY: 0001445283
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 40 GUEST STREET
STREET 2: SUITE 4410
CITY: BOSTON
STATE: MA
ZIP: 02135
BUSINESS PHONE: 617-409-5300
MAIL ADDRESS:
STREET 1: 40 GUEST STREET
STREET 2: SUITE 4410
CITY: BOSTON
STATE: MA
ZIP: 02135
FORMER COMPANY:
FORMER CONFORMED NAME: PROTEOSTASIS THERAPEUTICS, INC.
DATE OF NAME CHANGE: 20140813
FORMER COMPANY:
FORMER CONFORMED NAME: PROTEOSTASIS THERAPEUTICS INC
DATE OF NAME CHANGE: 20080916
3
1
doc3.xml
FORM 3 SUBMISSION
X0206
3
2020-12-22
0
0001445283
YUMANITY THERAPEUTICS, INC.
YMTX
0001834895
Susan L. Lindquist Family Trust
C/O NANCY E. DEMPZE HEMENWAY & BARNES,
LLP, 75 STATE STREET
BOSTON
MA
02109
0
0
1
0
0001834900
Susan L. Lindquist Exempt Marital Trust
C/O NANCY E. DEMPZE HEMENWAY & BARNES,
LLP, 75 STATE STREET
BOSTON
MA
02109
0
0
1
0
0001834898
Susan L. Lindquist Massachusetts Non-Exempt Marital Trust
C/O NANCY E. DEMPZE HEMENWAY & BARNES,
LLP, 75 STATE STREET
BOSTON
MA
02109
0
0
1
0
0001834888
Susan L. Lindquist Massachusetts Only Marital Trust
C/O NANCY E. DEMPZE HEMENWAY & BARNES,
LLP, 75 STATE STREET
BOSTON
MA
02109
0
0
1
0
Common Stock
484168
I
See Footnote
Common Stock
230170
I
See Footnote
Common Stock
241257
I
See Footnote
Common Stock
228966
I
See Footnote
Warrant (Right to Buy)
24.05
2016-02-08
2025-08-14
Common Stock
6038
I
See Footnote
On August 22, 2020, the Issuer (formerly known as Proteostasis Therapeutics, Inc.) entered into an Agreement and Plan of Merger and Reorganization, as amended on November 6, 2020, with Pangolin Merger Sub, Inc. ("Merger Sub"), Yumanity, Inc. (formerly known as Yumanity Therapeutics, Inc.) and Yumanity Holdings, LLC ("Holdings"). On December 22, 2020, Merger Sub was merged with and into Yumanity, Inc., with Yumanity, Inc. surviving as a wholly-owned subsidiary of the Issuer (the "Merger"). Immediately prior to the consummation of the Merger, Holdings was merged with and into Yumanity, Inc., with Yumanity, Inc. as the surviving entity.
The shares were received in exchange for 2,296,358.67 shares of Yumanity, Inc. common stock in connection with the Merger.
Shares held by Susan L. Lindquist Family Trust. All other reporting persons disclaim beneficial ownership of these shares except to the extent of its pecuniary interest therein, if any.
The shares were received in exchange for 1,091,672 shares of Yumanity, Inc. common stock in connection with the Merger.
Shares held by Susan L. Lindquist Exempt Marital Trust. All other reporting persons disclaim beneficial ownership of these shares except to the extent of its pecuniary interest therein, if any.
The shares were received in exchange for 1,144,257 shares of Yumanity, Inc. common stock in connection with the Merger.
Shares held by Susan L. Lindquist Non-Exempt Marital Trust. All other reporting persons disclaim beneficial ownership of these shares except to the extent of its pecuniary interest therein, if any.
The shares were received in exchange for 1,085,965 shares of Yumanity, Inc. common stock in connection with the Merger.
Shares held by Susan L. Lindquist Massachusetts only Marital Trust. All other reporting persons disclaim beneficial ownership of these shares except to the extent of its pecuniary interest therein, if any.
The warrant is fully vested on the date exercisable.
Received in the Merger in exchange for a warrant to purchase 28,642 shares of Yumanity, Inc. common stock for $5.069 per share.
Warrants held by Susan L. Lindquist Family Trust. All other reporting persons disclaim beneficial ownership of these shares except to the extent of its pecuniary interest therein, if any.
The reporting persons may be deemed to be in a "group" as that term is used in Rule 13d-5(b) of the Securities Exchange Act of 1934, as amended. Each of the reporting persons expressly disclaims such group status.
Susan L. Lindquist Family Trust, By: Nancy E. Dempze, Trustee /s/ Nancy E. Dempze
2021-01-04
Susan L. Lindquist Exempt Marital Trust, By: Nancy E. Dempze, Trustee /s/ Nancy E. Dempze
2021-01-04
Susan L. Lindquist Non-Exempt Marital Trust, By: Nancy E. Dempze, Trustee /s/ Nancy E. Dempze
2021-01-04
Susan L. Lindquist Massachusetts only Marital Trust, By: Nancy E. Dempze, Trustee /s/ Nancy E. Dempze
2021-01-04