Novartis Institutes for BioMedical Research, Inc. 4

4 · Surface Oncology, Inc. · Filed Apr 23, 2018

Form 4

Period: 2018-04-23

10% Owner

Transactions

Conversion
Common Stock
[F1][F3]
2018-04-23+2,272,726→ 2,272,726 total
Conversion
Common Stock
[F2][F3]
2018-04-23+909,090→ 3,181,816 total
Purchase
Common Stock
[F3]
2018-04-23$15.00/sh+766,666$11,499,990→ 3,948,482 total
Conversion
Series A Preferred Stock
[F1][F4][F3]
2018-04-23−1,571,429→ 0 total
→ Common Stock (2,272,726 underlying)
Conversion
Series A-1 Preferred Stock
[F2][F4][F3]
2018-04-23−5,214,286→ 0 total
→ Common Stock (909,090 underlying)

Footnotes (4)

[F1]The 1,571,429 shares of Series A Preferred Stock held by the Reporting Person automatically converted upon the closing of the Issuer's initial public offering into 2,272,726 shares of the Issuer's Common Stock without payment or further consideration.
[F2]The 5,214,286 shares of Series A-1 Preferred Stock held by the Reporting Person automatically converted upon the closing of the Issuer's initial public offering into 909,090 shares of the Issuer's Common Stock without payment or further consideration.
[F3]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.
[F4]Not applicable.

Documents

1 file