# EDGAR Filing Document

**Accession Number:** 0001304404
**File Stem:** 0001104659-25-065299
**Filing Date:** 2025-7
**Character Count:** 11794
**Document Hash:** 3669cd80a5656eacdaf48f0d5948c7d2
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-25-065299.hdr.sgml**: 20250702

**ACCESSION NUMBER**: 0001104659-25-065299

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20250701

**FILED AS OF DATE**: 20250702

**DATE AS OF CHANGE**: 20250702

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Perier Francis I Jr
- **CENTRAL INDEX KEY:** 0001304404

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39044
- **FILM NUMBER:** 251101344

**MAIL ADDRESS:**
- **STREET 1:** C/O FOREST LABORATORIES, INC.
- **STREET 2:** 909 THIRD AVENUE
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10022

**FORMER NAME:**
- **FORMER CONFORMED NAME:** Francis Perier I Jr
- **DATE OF NAME CHANGE:** 20040927
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** SpringWorks Therapeutics, Inc.
- **CENTRAL INDEX KEY:** 0001773427
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 100 WASHINGTON BOULEVARD
- **CITY:** STAMFORD
- **STATE:** CT
- **ZIP:** 06902
- **BUSINESS PHONE:** 203-883-9490

**MAIL ADDRESS:**
- **STREET 1:** 100 WASHINGTON BOULEVARD
- **CITY:** STAMFORD
- **STATE:** CT
- **ZIP:** 06902

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[x] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Perier Francis I Jr<br><sub>(Last) (First) (Middle)</sub><br>C/O SPRINGWORKS THERAPEUTICS, INC.<br>100 WASHINGTON BLVD.<br><sub>(Street)</sub><br>STAMFORD, CT 06902<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2025-07-01 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[ ] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_Chief Financial Officer_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>SpringWorks Therapeutics, Inc. [ SWTX ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2025-07-01 |  | D<sup>(1)</sup> |  | 60889<sup>(2)</sup> | D | <sup>(3)(4)</sup> | 0 | D |  |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Performance Share Units | <sup>(5)</sup> | 2025-07-01 |  | D<sup>(1)</sup> |  |  | 14724 | <sup>(6)</sup> | <sup>(6)</sup> | Common Stock | 14724 | <sup>(6)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $9.08 | 2025-07-01 |  | D<sup>(1)</sup> |  |  | 368923 | <sup>(7)(8)</sup> | <sup>(7)(8)</sup> | Common Stock | 368923 | <sup>(7)(8)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $33.66 | 2025-07-01 |  | D<sup>(1)</sup> |  |  | 75000 | <sup>(7)(8)</sup> | <sup>(7)(8)</sup> | Common Stock | 75000 | <sup>(7)(8)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $27.64 | 2025-07-01 |  | D<sup>(1)</sup> |  |  | 125000 | <sup>(7)(8)</sup> | <sup>(7)(8)</sup> | Common Stock | 125000 | <sup>(7)(8)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $38.40 | 2025-07-01 |  | D<sup>(1)</sup> |  |  | 60000 | <sup>(7)(8)</sup> | <sup>(7)(8)</sup> | Common Stock | 60000 | <sup>(7)(8)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $43.00 | 2025-07-01 |  | D<sup>(1)</sup> |  |  | 34419 | <sup>(7)(8)</sup> | <sup>(7)(8)</sup> | Common Stock | 34419 | <sup>(7)(8)</sup> | 0 | D |  |

---

### Footnotes:

(1) This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated April 27, 2025 (the "Merger Agreement"), by and among the Issuer, Merck KGaA, Darmstadt, Germany, a German corporation with general partners ("Parent"), and EMD Holdings Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of July 1, 2025, with the Issuer surviving the Merger as a wholly owned subsidiary of Parent (the "Merger").

(2) Includes 32,559 shares underlying restricted stock units (each, an "RSU") granted under the Issuer's 2019 Stock Option and Equity Incentive Plan (the "Plan"). Each RSU represents a contingent right to receive one share of Issuer common stock.

(3) Pursuant to the terms of the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer common stock was cancelled and automatically converted into the right to receive $47.00 in cash, without interest and subject to any required tax withholding (the "Merger Consideration").

(4) Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding RSU, whether vested or unvested, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the Merger Consideration payable with respect to such RSU multiplied by (ii) the total number of shares of Issuer common stock subject to such RSU immediately prior to the Effective Time (each a "Parent Cash-Based RSU Award"). Each Parent Cash-Based RSU Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such RSU immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based RSU Award will vest, subject to the applicable holder's continued employment with Parent through such date.

(5) Represents restricted share units subject to performance-based vesting conditions (each, a "PSU") granted under the Plan. Each PSU represents a contingent right to receive one share of Issuer common stock.

(6) Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding PSU, whether vested or unvested, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the Merger Consideration payable with respect to such PSU multiplied by (ii) the total number of shares of Issuer common stock subject to any such PSU immediately prior to the Effective Time that vests based on the achievement of performance levels determined in accordance with the applicable PSU award agreement.

(7) Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 8)

(8) (Continued from footnote 7) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

**Signature:** /s/ Francis I. Perier, Jr.  
**Date:** 2025-07-02

### Remarks:

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 4 (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.

**Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.**