4//SEC Filing
Torres S. Edward 4
Accession 0001209191-18-025824
CIK 0001718108other
Filed
Apr 22, 8:00 PM ET
Accepted
Apr 23, 4:16 PM ET
Size
14.4 KB
Accession
0001209191-18-025824
Insider Transaction Report
Form 4
LV Management Group, LLC
10% Owner
Transactions
- Conversion
Series A Preferred Stock
2018-04-23−7,000,000→ 0 total(indirect: By Fund)→ Common Stock (3,181,817 underlying) - Conversion
Common Stock
2018-04-23+3,181,817→ 3,181,817 total(indirect: By Fund) - Purchase
Common Stock
2018-04-23$15.00/sh+266,000$3,990,000→ 3,447,817 total(indirect: By Fund)
Lilly Ventures Fund I LLC
10% Owner
Transactions
- Conversion
Common Stock
2018-04-23+3,181,817→ 3,181,817 total(indirect: By Fund) - Conversion
Series A Preferred Stock
2018-04-23−7,000,000→ 0 total(indirect: By Fund)→ Common Stock (3,181,817 underlying) - Purchase
Common Stock
2018-04-23$15.00/sh+266,000$3,990,000→ 3,447,817 total(indirect: By Fund)
Hall Steven Edward
10% Owner
Transactions
- Conversion
Common Stock
2018-04-23+3,181,817→ 3,181,817 total(indirect: By Fund) - Purchase
Common Stock
2018-04-23$15.00/sh+266,000$3,990,000→ 3,447,817 total(indirect: By Fund) - Conversion
Series A Preferred Stock
2018-04-23−7,000,000→ 0 total(indirect: By Fund)→ Common Stock (3,181,817 underlying)
Torres S. Edward
10% Owner
Transactions
- Conversion
Common Stock
2018-04-23+3,181,817→ 3,181,817 total(indirect: By Fund) - Purchase
Common Stock
2018-04-23$15.00/sh+266,000$3,990,000→ 3,447,817 total(indirect: By Fund) - Conversion
Series A Preferred Stock
2018-04-23−7,000,000→ 0 total(indirect: By Fund)→ Common Stock (3,181,817 underlying)
Footnotes (2)
- [F1]The Series A Preferred Stock automatically converted into the Issuer's common stock on a 2.2-for-1 basis at the closing of the Issuer's initial public offering without payment or further consideration and had no expiration date.
- [F2]These shares are held directly by Lilly Ventures Fund I, LLC (LVFI). LV Management Group, LLC (LVMG) is the management company for LVFI and has voting and dispositive power over the shares held by LVFI. As such, LVMG may be deemed to indirectly beneficially own the shares held by LVFI. LVMG's voting and dispositive decisions with respect to the shares held by LVFI are made by LVMG's management committee, which consists of S. Edward Torres, Dr. Steven E. Hall and Dr. Armen B. Shanafelt. Each of the individuals and entities listed above expressly disclaims beneficial ownership of the shares held by LVFI, except to the extent of his or its pecuniary interest therein. Dr. Shanafelt is a director of the Issuer and, accordingly, files separate Section 16 reports.
Documents
Issuer
Surface Oncology, Inc.
CIK 0001718108
Entity typeother
Related Parties
1- filerCIK 0001552293
Filing Metadata
- Form type
- 4
- Filed
- Apr 22, 8:00 PM ET
- Accepted
- Apr 23, 4:16 PM ET
- Size
- 14.4 KB