Ngm Biopharmaceuticals (NGM) Form 3 NGM BIOPHARMACEUTICALS / Irene Perlich ownership change

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^*

Perlich Irene

(Last) (First) (Middle)

C/O NGM BIOPHARMACEUTICALS, INC.

333 OYSTER POINT BOULEVARD

(Street)

SOUTH SAN FRANCISCO CA 94080

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
09/15/2023

3. Issuer Name and Ticker or Trading Symbol
NGM BIOPHARMACEUTICALS INC [ NGM ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Principal Accounting Officer

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)
Common Stock	10,000(1)	D

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
Stock Option (Right to Buy)	(2)	03/31/2031	Common Stock	50,000	29.62	D
Stock Option (Right to Buy)	(3)	03/02/2032	Common Stock	35,000	15.2	D
Stock Option (Right to Buy)	(4)	11/03/2032	Common Stock	17,500	5.36	D
Stock Option (Right to Buy)	(5)	03/01/2033	Common Stock	30,000	4.36	D

Explanation of Responses:

1. Represents shares of common stock issuable upon the vesting and settlement of restricted stock units ("RSUs"). 1/4th of the RSUs vest on each of January 15, 2024, January 15, 2025, January 15, 2026 and January 15, 2027.

2. The shares subject to the option shall vest over a four-year period commencing March 22, 2021, with 1/4th of the shares vesting on March 22, 2022 and 1/48th of the shares vesting monthly thereafter.

3. The shares subject to the option shall vest over a four-year period commencing January 1, 2022, with 1/48th of the shares vesting on a monthly basis.

4. The shares subject to the option shall vest over a two-year period commencing November 4, 2022, with 1/2 of the shares vesting on an annual basis.

5. The shares subject to the option shall vest over a four-year period commencing January 1, 2023, with 1/48th of the shares vesting on a monthly basis.

Remarks:

	/s/ Valerie Pierce, Attorney-in-fact	09/18/2023
	** 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.
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.