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