SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
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

(Last) (First) (Middle)
C/O SPRINGWORKS THERAPEUTICS, INC.
100 WASHINGTON BLVD.

(Street)
STAMFORD CT 06902

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
09/12/2019
3. Issuer Name and Ticker or Trading Symbol
SpringWorks Therapeutics, Inc. [ SWTX ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Junior Series A Convertible Preferred Stock (1) (1) Common Stock 978,194 (1) I By Pfizer Inc.(2)
Series A Convertible Preferred Stock (3) (3) Common Stock 3,039,051 (3) I By Pfizer Inc.(2)
Series B Convertible Preferred Stock (4) (4) Common Stock 526,602 (4) I By Pfizer Ventures (US) LLC(5)
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 will convert into shares of Common Stock of the Issuer. The Junior Series A Convertible Preferred Stock has no expiration date.
2. 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.
3. 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 will convert into shares of Common Stock of the Issuer. The Series A Convertible Preferred Stock has no expiration date.
4. 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 will convert into shares of Common Stock of the Issuer. The Series B Convertible Preferred Stock has no expiration date.
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.
Remarks:
Exhibit 24 - Power of Attorney
/s/ Michael V. Greco as Attorney-in-Fact 09/12/2019
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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