Sec Form 4 Filing - Lewis-Hall Freda C @ SpringWorks Therapeutics, Inc. - 2019-09-17

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Lewis-Hall Freda C
2. Issuer Name and Ticker or Trading Symbol
SpringWorks Therapeutics, Inc. [ SWTX]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O SPRINGWORKS THERAPEUTICS, INC., 100 WASHINGTON BLVD.
3. Date of Earliest Transaction (MM/DD/YY)
09/17/2019
(Street)
STAMFORD, CT06902
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 09/17/2019 C 978,194 A 978,194 I By: Pfizer Inc. ( 4 )
Common Stock 09/17/2019 C 3,039,051 A 4,017,245 I By: Pfizer Inc. ( 4 )
Common Stock 09/17/2019 C 526,602 A 4,543,847 I By: Pfizer Ventures (US) LLC ( 5 )
Common Stock 09/17/2019 P 50,000 A $ 18 4,593,847 I By: Pfizer Ventures (US) LLC ( 5 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Junior Series A Convertible Preferred Stock ( 1 ) 09/17/2019 C 978,194 ( 1 ) ( 1 ) Common Stock 978,194 ( 1 ) 0 I By: Pfizer Inc. ( 4 )
Series A Convertible Preferred Stock ( 2 ) 09/17/2019 C 3,039,051 ( 2 ) ( 2 ) Common Stock 3,039,051 ( 2 ) 0 I By: Pfizer Inc. ( 4 )
Series B Convertible Preferred Stock ( 3 ) 09/17/2019 C 526,602 ( 3 ) ( 3 ) Common Stock 526,602 ( 3 ) 0 I By: Pfizer Ventures (US) LLC ( 5 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Lewis-Hall Freda C
C/O SPRINGWORKS THERAPEUTICS, INC.
100 WASHINGTON BLVD.
STAMFORD, CT06902
X X
Signatures
/s/ Michael V. Greco, Attorney-in-Fact 09/19/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Each share of Junior Series A Convertible Preferred Stock is convertible into shares of the Issuer's Common Stock on a 6.5810:1 basis. Upon the closing of the Issuer's initial public offering, all shares of Junior Series A Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer. The Junior Series A Convertible Preferred Stock has no expiration date.
( 2 )Each share of Series A Convertible Preferred Stock is convertible into shares of the Issuer's Common Stock on a 6.5810:1 basis. Upon the closing of the Issuer's initial public offering, all shares of Series A Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer. The Series A Convertible Preferred Stock has no expiration date.
( 3 )Each share of Series B Convertible Preferred Stock is convertible into shares of the Issuer's Common Stock on a 6.5810:1 basis. Upon the closing of the Issuer's initial public offering, all shares of Series B Convertible Preferred Stock automatically converted into shares of Common Stock of the Issuer. The Series B Convertible Preferred Stock has no expiration date.
( 4 )Shares held by Pfizer Inc. ("Pfizer"). The reporting person is employed by Pfizer. The reporting person has no voting or dispositive power over the shares held by Pfizer or Pfizer Ventures (US) Holdings ("Pfizer Ventures"), a wholly owned subsidiary of Pfizer, and disclaims beneficial ownership of all such shares.
( 5 )Shares held by Pfizer Ventures. The reporting person is employed by Pfizer. The reporting person has no voting or dispositive power over the shares held by Pfizer or Pfizer Ventures and disclaims beneficial ownership of all such shares.

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