Novartis Institutes for BioMedical Research, Inc. 3
3 · Surface Oncology, Inc. · Filed Apr 18, 2018
Insider Transaction Report
Form 3
Holdings
Series A-1 Preferred Stock
→ Common Stock (909,090 underlying)Series A Preferred Stock
→ Common Stock (2,272,726 underlying)
Footnotes (3)
- [F1]The 1,571,429 shares of Series A Preferred Stock held by the Reporting Person will automatically convert upon the closing of the Issuer's initial public offering into the number of shares of the Issuer's Common Stock shown in column 3 without payment or further consideration. The shares have no expiration date.
- [F2]The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG.
- [F3]The 5,214,286 shares of Series A-1 Preferred Stock held by the Reporting Person will automatically convert upon the closing of the Issuer's initial public offering into the number of shares of the Issuer's Common Stock shown in column 3 without payment or further consideration. The shares have no expiration date.