COGT

SEC source: 0000899243-21-008077 · doc4.xml · derivative · entry 1

Shegog Todd · CIK 0001714564 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2031-02-22

F1 · derivative.exercise_date: This stock option shall vest in equal monthly installments over a three year period.

SEC source: 0000899243-21-006403 · doc4.xml · derivative · entry 1

Robbins Andrew R · CIK 0001590157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 315,200

Underlying: Common Stock · 315,200 shares

Expires 2031-02-10

F1 · derivative.exercise_date: This stock option shall vest in equal monthly installments over a four year period.

SEC source: 0000899243-21-006402 · doc4.xml · derivative · entry 2

Green John L. · CIK 0001709773 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,746

Underlying: Common Stock · 270,746 shares

Expires 2031-02-10

F2 · derivative.exercise_date: This stock option shall vest over a four year period as follows: 1/4th of the option shall vest one year after the vesting start date; then 1/48th of the option shall vest monthly over the remaining three year period.

SEC source: 0000899243-21-006402 · doc4.xml · derivative · entry 1

Green John L. · CIK 0001709773 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,300

Underlying: Common Stock · 111,300 shares

Expires 2031-02-10

F1 · derivative.exercise_date: This stock option shall vest in equal monthly installments over a four year period.

SEC source: 0000899243-21-006400 · doc4.xml · derivative · entry 1

Sachs Jessica · CIK 0001782545 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,500

Underlying: Common Stock · 126,500 shares

Expires 2031-02-10

F1 · derivative.exercise_date: This stock option shall vest in equal monthly installments over a four year period.

SEC source: 0000899243-21-004384 · doc4.xml · derivative · entry 1

Sachs Jessica · CIK 0001782545 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2031-02-01

F1 · derivative.exercise_date: This stock option shall vest over a four year period as follows: 1/4th of the option shall vest one year after the vesting start date; then 1/48th of the option shall vest monthly over the remaining three year period.

SEC source: 0000899243-21-000793 · doc4.xml · derivative · entry 1

Ros Matthew · CIK 0001673802 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,641

Underlying: Common Stock · 1,641 shares

Expires 2031-01-04

F1 · shares: The option award was issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director, pursuant to the Issuer's non-employee director compensation plan. The number of options granted was determined by dividing the cash compensation otherwise payable with respect to the quarter by the Black-Scholes value of a single option calculated as of the date of the grant.

F2 · derivative.exercise_date: This option is fully vested at time of grant.

SEC source: 0000899243-21-000792 · doc4.xml · derivative · entry 1

Ferrante Karen Jean · CIK 0001598502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,575

Underlying: Common Stock · 1,575 shares

Expires 2031-01-04

F1 · shares: The option award was issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director, pursuant to the Issuer's non-employee director compensation plan. The number of options granted was determined by dividing the cash compensation otherwise payable with respect to the quarter by the Black-Scholes value of a single option calculated as of the date of the grant.

F2 · derivative.exercise_date: This option is fully vested at time of grant.

SEC source: 0000899243-20-033232 · doc4.xml · derivative · entry 1

Robbins Andrew R · CIK 0001590157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 456,693

Underlying: Common Stock · 456,693 shares

Expires 2030-12-07

F1 · derivative.exercise_date: This stock option shall vest over a four year period as follows: 1/4th of the option shall vest one year after the vesting start date; then 1/48th of the option shall vest monthly over the remaining three year period.

SEC source: 0000899243-20-032853 · doc4.xml · nonDerivative · entry 1

Green John L. · CIK 0001709773 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,748

F1 · security: Reflects shares of common stock issued to the Reporting Person in accordance with the terms of the Contingent Value Rights distributed to certain stockholders pursuant to the Contingent Value Rights Agreement on July 6, 2020.

SEC source: 0001209191-20-055909 · doc4.xml · derivative · entry 1

Robbins Andrew R · CIK 0001590157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,442,421

Underlying: Common Stock · 7,442,421 shares

Expires 2030-10-22

F1 · derivative.exercise_date: This stock option shall vest as follows: 25% on the first anniversary of the date of grant; then in equal monthly installments over 36 months.

SEC source: 0001209191-20-054904 · doc4.xml · derivative · entry 1

Green John L. · CIK 0001709773 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 695,700

Underlying: Common Stock · 695,700 shares

Expires 2030-10-12

F1 · derivative.exercise_date: This stock option shall vest as follows: 25% on the first anniversary of the date of grant then in equal monthly installments over 36 months.

SEC source: 0001209191-20-053276 · doc4.xml · derivative · entry 1

Ros Matthew · CIK 0001673802 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,247

Underlying: Common Stock · 9,247 shares

Expires 2030-10-01

F1 · shares: The option award was issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director, pursuant to the Issuer's non-employee director compensation plan. The number of options granted was determined by dividing the cash compensation otherwise payable with respect to the quarter by the Black-Scholes value of a single option calculated as of the date of the grant.

F2 · derivative.exercise_date: This option is fully vested at time of grant.

SEC source: 0001209191-20-053277 · doc4.xml · derivative · entry 1

Ferrante Karen Jean · CIK 0001598502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,878

Underlying: Common Stock · 8,878 shares

Expires 2030-10-01

F1 · shares: The option award was issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director, pursuant to the Issuer's non-employee director compensation plan. The number of options granted was determined by dividing the cash compensation otherwise payable with respect to the quarter by the Black-Scholes value of a single option calculated as of the date of the grant.

F2 · derivative.exercise_date: This option is fully vested at time of grant.

SEC source: 0001567619-20-016159 · doc1.xml · derivative · entry 1

CAIN CHRISTOPHER W. · CIK 0001817733 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,661

Underlying: Common Stock · 28,661 shares

Expires 2030-08-27

F1 · derivative.exercise_date: Stock Options vest monthly over a three-year period, subject to Director's continued service on the Board.

SEC source: 0001567619-20-016161 · doc1.xml · derivative · entry 1

Harwin Peter Evan · CIK 0001663607 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,661

Underlying: Common Stock · 28,661 shares

Expires 2030-08-27

F1 · derivative.exercise_date: Stock Options vest monthly over a three-year period, subject to Director's continued service on the Board.

SEC source: 0001209191-20-047288 · doc4.xml · nonDerivative · entry 3

Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner

Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner

VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner

VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner

VHCP Management II, LLC · CIK 0001602263 · 10% owner

VHCP Management III, LLC · CIK 0001738053 · 10% owner

Koh Bong Y · CIK 0001615979 · 10% owner

Shah Nimish P · CIK 0001698082 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By funds

Disclosed balance after: 4,355,273

F6 · shares: Consists of (i) 26,694 shares purchased by Venrock Healthcare Capital Partners II, LP; (ii) 10,817 shares purchased by VHCP Co-Investment Holdings II, LLC; (iii) 57,722 shares purchased by Venrock Healthcare Capital Partners III, LP; and (iv) 5,767 shares purchased by VHCP Co-Investment Holdings III, LLC.

F3 · ownership.nature: VHCP Management II, LLC ("VHCPM2") is the general partner of Venrock Healthcare Capital Associates II, LP and the manager of VHCP Co-Investment Holdings II, LLC. VHCP Management III, LLC ("VHCPM3") is the general partner of Venrock Healthcare Capital Partners III, LP and the manager of VHCP Co-Investment Holdings III, LLC. Bong Koh and Nimish Shah are the voting members of VHCPM2 and VHCPM3. Each of VHCPM2, VHCPM3, Bong Koh and Nimish Shah (together, the "Managers") may be deemed to beneficially own these shares, but each of the Managers expressly disclaims beneficial ownership over these shares except to the extent of their respective pecuniary interests therein.

F7 · ownership.nature: Consists of (i) 1,151,100 shares owned by Venrock Healthcare Capital Partners II, LP; (ii) 466,445 shares owned by VHCP Co-Investment Holdings II, LLC; (iii) 2,489,042 shares owned by Venrock Healthcare Capital Partners III, LP; and (iv) 248,686 shares owned by VHCP Co-Investment Holdings III, LLC.

SEC source: 0001209191-20-047288 · doc4.xml · nonDerivative · entry 2

Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner

Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner

VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner

VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner

VHCP Management II, LLC · CIK 0001602263 · 10% owner

VHCP Management III, LLC · CIK 0001738053 · 10% owner

Koh Bong Y · CIK 0001615979 · 10% owner

Shah Nimish P · CIK 0001698082 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By funds

Disclosed balance after: 4,254,273

F4 · shares: Consists of (i) 66,075 shares purchased by Venrock Healthcare Capital Partners II, LP; (ii) 26,775 shares purchased by VHCP Co-Investment Holdings II, LLC; (iii) 142,875 shares purchased by Venrock Healthcare Capital Partners III, LP; and (iv) 14,275 shares purchased by VHCP Co-Investment Holdings III, LLC.

F3 · ownership.nature: VHCP Management II, LLC ("VHCPM2") is the general partner of Venrock Healthcare Capital Associates II, LP and the manager of VHCP Co-Investment Holdings II, LLC. VHCP Management III, LLC ("VHCPM3") is the general partner of Venrock Healthcare Capital Partners III, LP and the manager of VHCP Co-Investment Holdings III, LLC. Bong Koh and Nimish Shah are the voting members of VHCPM2 and VHCPM3. Each of VHCPM2, VHCPM3, Bong Koh and Nimish Shah (together, the "Managers") may be deemed to beneficially own these shares, but each of the Managers expressly disclaims beneficial ownership over these shares except to the extent of their respective pecuniary interests therein.

F5 · ownership.nature: Consists of (i) 1,124,406 shares owned by Venrock Healthcare Capital Partners II, LP; (ii) 455,628 shares owned by VHCP Co-Investment Holdings II, LLC; (iii) 2,431,320 shares owned by Venrock Healthcare Capital Partners III, LP; and (iv) 242,919 shares owned by VHCP Co-Investment Holdings III, LLC.

SEC source: 0001209191-20-047288 · doc4.xml · nonDerivative · entry 1

Venrock Healthcare Capital Partners III, L.P. · CIK 0001738048 · 10% owner

Venrock Healthcare Capital Partners II, L.P. · CIK 0001602264 · 10% owner

VHCP Co-Investment Holdings II, LLC · CIK 0001615983 · 10% owner

VHCP Co-Investment Holdings III, LLC · CIK 0001750761 · 10% owner

VHCP Management II, LLC · CIK 0001602263 · 10% owner

VHCP Management III, LLC · CIK 0001738053 · 10% owner

Koh Bong Y · CIK 0001615979 · 10% owner

Shah Nimish P · CIK 0001698082 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By funds

Disclosed balance after: 4,004,273

F1 · shares: Consists of (i) 26,430 shares purchased by Venrock Healthcare Capital Partners II, LP; (ii) 10,710 shares purchased by VHCP Co-Investment Holdings II, LLC; (iii) 57,150 shares purchased by Venrock Healthcare Capital Partners III, LP; and (iv) 5,710 shares purchased by VHCP Co-Investment Holdings III, LLC.

F2 · ownership.nature: Consists of (i) 1,058,331 shares owned by Venrock Healthcare Capital Partners II, LP; (ii) 428,853 shares owned by VHCP Co-Investment Holdings II, LLC; (iii) 2,288,445 shares owned by Venrock Healthcare Capital Partners III, LP; and (iv) 228,644 shares owned by VHCP Co-Investment Holdings III, LLC.

F3 · ownership.nature: VHCP Management II, LLC ("VHCPM2") is the general partner of Venrock Healthcare Capital Associates II, LP and the manager of VHCP Co-Investment Holdings II, LLC. VHCP Management III, LLC ("VHCPM3") is the general partner of Venrock Healthcare Capital Partners III, LP and the manager of VHCP Co-Investment Holdings III, LLC. Bong Koh and Nimish Shah are the voting members of VHCPM2 and VHCPM3. Each of VHCPM2, VHCPM3, Bong Koh and Nimish Shah (together, the "Managers") may be deemed to beneficially own these shares, but each of the Managers expressly disclaims beneficial ownership over these shares except to the extent of their respective pecuniary interests therein.

SEC source: 0001567619-20-013202 · doc1.xml · derivative · entry 4

Fairmount Funds Management LLC · CIK 0001802528 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Fairmount Healthcare Fund II LP

Disclosed balance after: 55,500

Underlying: Common Stock · 19,035,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Following stockholder approval of the conversion of Series A Preferred Stock into shares of Common Stock, each share of Series A Preferred Stock is convertible into shares of Common Stock at any time at the option of the holder thereof, into 1,000 shares of Common Stock, subject to certain limitations, including that a holder of Series A Preferred Stock is prohibited from converting shares of Series Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than 19.99% of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion.

F3 · derivative.exercise_date: Following stockholder approval of the conversion of Series A Preferred Stock into shares of Common Stock, each share of Series A Preferred Stock is convertible into shares of Common Stock at any time at the option of the holder thereof, into 1,000 shares of Common Stock, subject to certain limitations, including that a holder of Series A Preferred Stock is prohibited from converting shares of Series Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than 19.99% of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion.

F3 · derivative.expiration_date: Following stockholder approval of the conversion of Series A Preferred Stock into shares of Common Stock, each share of Series A Preferred Stock is convertible into shares of Common Stock at any time at the option of the holder thereof, into 1,000 shares of Common Stock, subject to certain limitations, including that a holder of Series A Preferred Stock is prohibited from converting shares of Series Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than 19.99% of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion.

F2 · ownership.nature: Fairmount Funds Management LLC and Fairmount Healthcare Fund II GP LLC have voting power and investment power over the shares of Common Stock and Series A Preferred Stock held by Fairmount Healthcare Fund II LP. They disclaim beneficial ownership of securities held by the Fund for purposes of Rule 16a-1(a)(2), except to the extent of their pecuniary interest therein.

SEC source: 0001567619-20-013202 · doc1.xml · derivative · entry 3

Fairmount Funds Management LLC · CIK 0001802528 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Fairmount Healthcare Fund LP

Disclosed balance after: 11,914

Underlying: Common Stock · 3,692,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Following stockholder approval of the conversion of Series A Preferred Stock into shares of Common Stock, each share of Series A Preferred Stock is convertible into shares of Common Stock at any time at the option of the holder thereof, into 1,000 shares of Common Stock, subject to certain limitations, including that a holder of Series A Preferred Stock is prohibited from converting shares of Series Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than 19.99% of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion.

F3 · derivative.exercise_date: Following stockholder approval of the conversion of Series A Preferred Stock into shares of Common Stock, each share of Series A Preferred Stock is convertible into shares of Common Stock at any time at the option of the holder thereof, into 1,000 shares of Common Stock, subject to certain limitations, including that a holder of Series A Preferred Stock is prohibited from converting shares of Series Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than 19.99% of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion.

F3 · derivative.expiration_date: Following stockholder approval of the conversion of Series A Preferred Stock into shares of Common Stock, each share of Series A Preferred Stock is convertible into shares of Common Stock at any time at the option of the holder thereof, into 1,000 shares of Common Stock, subject to certain limitations, including that a holder of Series A Preferred Stock is prohibited from converting shares of Series Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than 19.99% of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion.

F1 · ownership.nature: Fairmount Funds Management LLC and Fairmount Healthcare Fund GP LLC have voting power and investment power over the shares of Common Stock and Series A Preferred Stock held by Fairmount Healthcare Fund LP. They disclaim beneficial ownership of securities held by the Fund for purposes of Rule 16a-1(a)(2), except to the extent of their pecuniary interest therein.

SEC source: 0001209191-20-041824 · doc4.xml · derivative · entry 3

Green John L. · CIK 0001709773 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 109,459 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of UMRX common stock.

F3 · derivative.exercise_date: On July 6, 2020, all outstanding RSUs of the Issuer vested in full.

F3 · derivative.expiration_date: On July 6, 2020, all outstanding RSUs of the Issuer vested in full.

SEC source: 0001209191-20-041824 · doc4.xml · nonDerivative · entry 2

Green John L. · CIK 0001709773 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,586

F2 · kind: Represents withholding by the Issuer of shares in respect of tax liability incident to the vesting of a security issued in accordance with Rule 16b-3, and not a market sale of securities.

SEC source: 0001209191-20-041824 · doc4.xml · nonDerivative · entry 1

Green John L. · CIK 0001709773 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,459

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of UMRX common stock.

SEC source: 0001567619-20-013084 · doc1.xml · derivative · entry 4

Fairmount Funds Management LLC · CIK 0001802528 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Fairmount Healthcare Fund II LP

Disclosed balance after: 36,465

Underlying: Common Stock · 36,465,000 shares

Expires not disclosed

F4 · derivative.exercise_price: Following stockholder approval of the conversion of Series A Preferred Stock into shares of Common Stock, each share of Series A Preferred Stock is convertible into shares of Common Stock at any time at the option of the holder thereof, into 1,000 shares of Common Stock, subject to certain limitations, including that a holder of Series A Preferred Stock is prohibited from converting shares of Series Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than 19.99% of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion.

F1 · kind: On July 6, 2020, Unum Therapeutics Inc. (the "Company") completed its merger with Kiq Bio LLC (formerly Kiq LLC), a company owned by Fairmount Healthcare Fund LP and Fairmount Healthcare Fund II LP (the "Funds"), in accordance with the terms of the Agreement and Plan of Merger, dated July 6, 2020. At the closing of the merger, the Funds were issued 6,235,903 shares of Common Stock of the Company and 44,687 shares of Series A Non-Voting Convertible Preferred Stock of the Company ("Series A Preferred Stock").

F1 · price: On July 6, 2020, Unum Therapeutics Inc. (the "Company") completed its merger with Kiq Bio LLC (formerly Kiq LLC), a company owned by Fairmount Healthcare Fund LP and Fairmount Healthcare Fund II LP (the "Funds"), in accordance with the terms of the Agreement and Plan of Merger, dated July 6, 2020. At the closing of the merger, the Funds were issued 6,235,903 shares of Common Stock of the Company and 44,687 shares of Series A Non-Voting Convertible Preferred Stock of the Company ("Series A Preferred Stock").

F4 · derivative.exercise_date: Following stockholder approval of the conversion of Series A Preferred Stock into shares of Common Stock, each share of Series A Preferred Stock is convertible into shares of Common Stock at any time at the option of the holder thereof, into 1,000 shares of Common Stock, subject to certain limitations, including that a holder of Series A Preferred Stock is prohibited from converting shares of Series Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than 19.99% of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion.

F4 · derivative.expiration_date: Following stockholder approval of the conversion of Series A Preferred Stock into shares of Common Stock, each share of Series A Preferred Stock is convertible into shares of Common Stock at any time at the option of the holder thereof, into 1,000 shares of Common Stock, subject to certain limitations, including that a holder of Series A Preferred Stock is prohibited from converting shares of Series Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than 19.99% of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion.

F3 · ownership.nature: Fairmount Funds Management LLC and Fairmount Healthcare Fund II GP LLC have voting power and investment power over the shares of Common Stock and Series A Preferred Stock held by Fairmount Healthcare Fund II LP. They disclaim beneficial ownership of securities held by the Fund for purposes of Rule 16a-1(a)(2), except to the extent of their pecuniary interest therein.

SEC source: 0001567619-20-013084 · doc1.xml · derivative · entry 3

Fairmount Funds Management LLC · CIK 0001802528 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Fairmount Healthcare Fund LP

Disclosed balance after: 8,222

Underlying: Common Stock · 8,222,000 shares

Expires not disclosed

F4 · derivative.exercise_price: Following stockholder approval of the conversion of Series A Preferred Stock into shares of Common Stock, each share of Series A Preferred Stock is convertible into shares of Common Stock at any time at the option of the holder thereof, into 1,000 shares of Common Stock, subject to certain limitations, including that a holder of Series A Preferred Stock is prohibited from converting shares of Series Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than 19.99% of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion.

F1 · kind: On July 6, 2020, Unum Therapeutics Inc. (the "Company") completed its merger with Kiq Bio LLC (formerly Kiq LLC), a company owned by Fairmount Healthcare Fund LP and Fairmount Healthcare Fund II LP (the "Funds"), in accordance with the terms of the Agreement and Plan of Merger, dated July 6, 2020. At the closing of the merger, the Funds were issued 6,235,903 shares of Common Stock of the Company and 44,687 shares of Series A Non-Voting Convertible Preferred Stock of the Company ("Series A Preferred Stock").

F1 · price: On July 6, 2020, Unum Therapeutics Inc. (the "Company") completed its merger with Kiq Bio LLC (formerly Kiq LLC), a company owned by Fairmount Healthcare Fund LP and Fairmount Healthcare Fund II LP (the "Funds"), in accordance with the terms of the Agreement and Plan of Merger, dated July 6, 2020. At the closing of the merger, the Funds were issued 6,235,903 shares of Common Stock of the Company and 44,687 shares of Series A Non-Voting Convertible Preferred Stock of the Company ("Series A Preferred Stock").

F4 · derivative.exercise_date: Following stockholder approval of the conversion of Series A Preferred Stock into shares of Common Stock, each share of Series A Preferred Stock is convertible into shares of Common Stock at any time at the option of the holder thereof, into 1,000 shares of Common Stock, subject to certain limitations, including that a holder of Series A Preferred Stock is prohibited from converting shares of Series Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than 19.99% of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion.

F4 · derivative.expiration_date: Following stockholder approval of the conversion of Series A Preferred Stock into shares of Common Stock, each share of Series A Preferred Stock is convertible into shares of Common Stock at any time at the option of the holder thereof, into 1,000 shares of Common Stock, subject to certain limitations, including that a holder of Series A Preferred Stock is prohibited from converting shares of Series Preferred Stock into shares of Common Stock if, as a result of such conversion, such holder, together with its affiliates, would beneficially own more than 19.99% of the total number of shares of Common Stock issued and outstanding immediately after giving effect to such conversion.

F2 · ownership.nature: Fairmount Funds Management LLC and Fairmount Healthcare Fund GP LLC have voting power and investment power over the shares of Common Stock and Series A Preferred Stock held by Fairmount Healthcare Fund LP. They disclaim beneficial ownership of securities held by the Fund for purposes of Rule 16a-1(a)(2), except to the extent of their pecuniary interest therein.

SEC source: 0001567619-20-013084 · doc1.xml · nonDerivative · entry 2

Fairmount Funds Management LLC · CIK 0001802528 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Fairmount Healthcare Fund II LP

Disclosed balance after: 5,088,497

F1 · kind: On July 6, 2020, Unum Therapeutics Inc. (the "Company") completed its merger with Kiq Bio LLC (formerly Kiq LLC), a company owned by Fairmount Healthcare Fund LP and Fairmount Healthcare Fund II LP (the "Funds"), in accordance with the terms of the Agreement and Plan of Merger, dated July 6, 2020. At the closing of the merger, the Funds were issued 6,235,903 shares of Common Stock of the Company and 44,687 shares of Series A Non-Voting Convertible Preferred Stock of the Company ("Series A Preferred Stock").

F1 · price: On July 6, 2020, Unum Therapeutics Inc. (the "Company") completed its merger with Kiq Bio LLC (formerly Kiq LLC), a company owned by Fairmount Healthcare Fund LP and Fairmount Healthcare Fund II LP (the "Funds"), in accordance with the terms of the Agreement and Plan of Merger, dated July 6, 2020. At the closing of the merger, the Funds were issued 6,235,903 shares of Common Stock of the Company and 44,687 shares of Series A Non-Voting Convertible Preferred Stock of the Company ("Series A Preferred Stock").

F3 · ownership.nature: Fairmount Funds Management LLC and Fairmount Healthcare Fund II GP LLC have voting power and investment power over the shares of Common Stock and Series A Preferred Stock held by Fairmount Healthcare Fund II LP. They disclaim beneficial ownership of securities held by the Fund for purposes of Rule 16a-1(a)(2), except to the extent of their pecuniary interest therein.

SEC source: 0001567619-20-013084 · doc1.xml · nonDerivative · entry 1

Fairmount Funds Management LLC · CIK 0001802528 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Fairmount Healthcare Fund LP

Disclosed balance after: 1,147,406

F1 · kind: On July 6, 2020, Unum Therapeutics Inc. (the "Company") completed its merger with Kiq Bio LLC (formerly Kiq LLC), a company owned by Fairmount Healthcare Fund LP and Fairmount Healthcare Fund II LP (the "Funds"), in accordance with the terms of the Agreement and Plan of Merger, dated July 6, 2020. At the closing of the merger, the Funds were issued 6,235,903 shares of Common Stock of the Company and 44,687 shares of Series A Non-Voting Convertible Preferred Stock of the Company ("Series A Preferred Stock").

F1 · price: On July 6, 2020, Unum Therapeutics Inc. (the "Company") completed its merger with Kiq Bio LLC (formerly Kiq LLC), a company owned by Fairmount Healthcare Fund LP and Fairmount Healthcare Fund II LP (the "Funds"), in accordance with the terms of the Agreement and Plan of Merger, dated July 6, 2020. At the closing of the merger, the Funds were issued 6,235,903 shares of Common Stock of the Company and 44,687 shares of Series A Non-Voting Convertible Preferred Stock of the Company ("Series A Preferred Stock").

F2 · ownership.nature: Fairmount Funds Management LLC and Fairmount Healthcare Fund GP LLC have voting power and investment power over the shares of Common Stock and Series A Preferred Stock held by Fairmount Healthcare Fund LP. They disclaim beneficial ownership of securities held by the Fund for purposes of Rule 16a-1(a)(2), except to the extent of their pecuniary interest therein.

SEC source: 0001209191-20-041017 · doc4.xml · derivative · entry 1

Ros Matthew · CIK 0001673802 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,280

Underlying: Common Stock · 35,280 shares

Expires 2030-07-01

F1 · shares: The option award was issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director, pursuant to the Issuer's non-employee director compensation plan. The number of options granted was determined by dividing the cash compensation otherwise payable with respect to the quarter by the Black-Scholes value of a single option calculated as of the date of the grant.

F2 · derivative.exercise_date: This option is fully vested at time of grant.

SEC source: 0001209191-20-041045 · doc4.xml · derivative · entry 1

Booth Bruce · CIK 0001451612 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,338

Underlying: Common Stock · 61,338 shares

Expires 2030-07-01

F1 · shares: The option award was issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director, pursuant to the Issuer's non-employee director compensation plan. The number of options granted was determined by dividing the cash compensation otherwise payable with respect to the quarter by the Black-Scholes value of a single option calculated as of the date of the grant.

F2 · derivative.exercise_date: This option is fully vested at time of grant.

F3 · ownership.direct: This option was granted to the Reporting Person, a director of the Issuer. The proceeds of any sale of shares of common stock issued to the Reporting Person upon exercise of this option will be transferred to Atlas Venture Advisors, LLC and as such, the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except to the extent of this pecuniary interest therein, if any.

SEC source: 0001209191-20-041016 · doc4.xml · derivative · entry 1

Ferrante Karen Jean · CIK 0001598502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,487

Underlying: Common Stock · 38,487 shares

Expires 2030-07-01

F1 · shares: The option award was issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director, pursuant to the Issuer's non-employee director compensation plan. The number of options granted was determined by dividing the cash compensation otherwise payable with respect to the quarter by the Black-Scholes value of a single option calculated as of the date of the grant.

F2 · derivative.exercise_date: This option is fully vested at time of grant.

SEC source: 0001209191-20-041003 · doc4.xml · derivative · entry 1

Aldag Jorn · CIK 0001734412 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,090

Underlying: Common Stock · 40,090 shares

Expires 2030-07-01

F1 · shares: The option award was issued to the Reporting Person, who elected to take shares in lieu of cash compensation for services as a director, pursuant to the Issuer's non-employee director compensation plan. The number of options granted was determined by dividing the cash compensation otherwise payable with respect to the quarter by the Black-Scholes value of a single option calculated as of the date of the grant.

F2 · derivative.exercise_date: This option is fully vested at time of grant.

SEC source: 0001209191-20-035929 · doc4.xml · derivative · entry 1

Ros Matthew · CIK 0001673802 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,331

Underlying: Common Stock · 14,331 shares

Expires 2030-06-09

F1 · derivative.exercise_date: This option shall vest in full on the earlier of (i) June 9, 2021, and (ii) the next annual meeting of the Issuer's stockholders.

SEC source: 0001209191-20-035925 · doc4.xml · derivative · entry 1

Booth Bruce · CIK 0001451612 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,331

Underlying: Common Stock · 14,331 shares

Expires 2030-06-09

F1 · derivative.exercise_date: This option shall vest in full on the earlier of (i) June 9, 2021, and (ii) the next annual meeting of the Issuer's stockholders.

F2 · balance_after: This option was granted to the Reporting Person, a director of the Issuer. The proceeds of any sale of shares of common stock issued to the Reporting Person upon exercise of this option will be transferred to Atlas Venture Advisors, LLC and as such, the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, except to the extent of this pecuniary interest therein, if any.

SEC source: 0001209191-20-035928 · doc4.xml · derivative · entry 1

Morris Arlene · CIK 0001362520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,331

Underlying: Common Stock · 14,331 shares

Expires 2030-06-09

F1 · derivative.exercise_date: This option shall vest in full on the earlier of (i) June 9, 2021, and (ii) the next annual meeting of the Issuer's stockholders.

SEC source: 0001209191-20-035926 · doc4.xml · derivative · entry 1

Ferrante Karen Jean · CIK 0001598502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,331

Underlying: Common Stock · 14,331 shares

Expires 2030-06-09

F1 · derivative.exercise_date: This option shall vest in full on the earlier of (i) June 9, 2021, and (ii) the next annual meeting of the Issuer's stockholders.

SEC source: 0001209191-20-035923 · doc4.xml · derivative · entry 1

Aldag Jorn · CIK 0001734412 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,331

Underlying: Common Stock · 14,331 shares

Expires 2030-06-09

F1 · derivative.exercise_date: This option shall vest in full on the earlier of (i) June 9, 2021, and (ii) the next annual meeting of the Issuer's stockholders.

SEC source: 0001209191-20-054312 · doc4.xml · nonDerivative · entry 23

CAMPANA DARIO · CIK 0001735220 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By IPCT Holdings LLC

Disclosed balance after: 3,095,114

F1 · ownership.nature: Shares held by IPCT Holdings LLC ("IPCT"). IPCT is fully owned by South Dakota Trust Company, LLC, solely in its capacity as trustee of the Dario Campana Revocable Trust. The Reporting Person is the ultimate beneficial owner of the Dario Campana Revocable Trust, and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001209191-20-054312 · doc4.xml · nonDerivative · entry 22

CAMPANA DARIO · CIK 0001735220 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By IPCT Holdings LLC

Disclosed balance after: 3,193,314

F1 · ownership.nature: Shares held by IPCT Holdings LLC ("IPCT"). IPCT is fully owned by South Dakota Trust Company, LLC, solely in its capacity as trustee of the Dario Campana Revocable Trust. The Reporting Person is the ultimate beneficial owner of the Dario Campana Revocable Trust, and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001209191-20-054312 · doc4.xml · nonDerivative · entry 21

CAMPANA DARIO · CIK 0001735220 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By IPCT Holdings LLC

Disclosed balance after: 3,271,033

F1 · ownership.nature: Shares held by IPCT Holdings LLC ("IPCT"). IPCT is fully owned by South Dakota Trust Company, LLC, solely in its capacity as trustee of the Dario Campana Revocable Trust. The Reporting Person is the ultimate beneficial owner of the Dario Campana Revocable Trust, and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001209191-20-054312 · doc4.xml · nonDerivative · entry 20

CAMPANA DARIO · CIK 0001735220 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By IPCT Holdings LLC

Disclosed balance after: 3,293,314

F1 · ownership.nature: Shares held by IPCT Holdings LLC ("IPCT"). IPCT is fully owned by South Dakota Trust Company, LLC, solely in its capacity as trustee of the Dario Campana Revocable Trust. The Reporting Person is the ultimate beneficial owner of the Dario Campana Revocable Trust, and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001209191-20-054312 · doc4.xml · nonDerivative · entry 19

CAMPANA DARIO · CIK 0001735220 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By IPCT Holdings LLC

Disclosed balance after: 3,393,314

F1 · ownership.nature: Shares held by IPCT Holdings LLC ("IPCT"). IPCT is fully owned by South Dakota Trust Company, LLC, solely in its capacity as trustee of the Dario Campana Revocable Trust. The Reporting Person is the ultimate beneficial owner of the Dario Campana Revocable Trust, and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001209191-20-054312 · doc4.xml · nonDerivative · entry 18

CAMPANA DARIO · CIK 0001735220 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By IPCT Holdings LLC

Disclosed balance after: 3,493,314

F1 · ownership.nature: Shares held by IPCT Holdings LLC ("IPCT"). IPCT is fully owned by South Dakota Trust Company, LLC, solely in its capacity as trustee of the Dario Campana Revocable Trust. The Reporting Person is the ultimate beneficial owner of the Dario Campana Revocable Trust, and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001209191-20-054312 · doc4.xml · nonDerivative · entry 17

CAMPANA DARIO · CIK 0001735220 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By IPCT Holdings LLC

Disclosed balance after: 3,495,114

F1 · ownership.nature: Shares held by IPCT Holdings LLC ("IPCT"). IPCT is fully owned by South Dakota Trust Company, LLC, solely in its capacity as trustee of the Dario Campana Revocable Trust. The Reporting Person is the ultimate beneficial owner of the Dario Campana Revocable Trust, and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001209191-20-054312 · doc4.xml · nonDerivative · entry 16

CAMPANA DARIO · CIK 0001735220 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By IPCT Holdings LLC

Disclosed balance after: 3,630,598

F1 · ownership.nature: Shares held by IPCT Holdings LLC ("IPCT"). IPCT is fully owned by South Dakota Trust Company, LLC, solely in its capacity as trustee of the Dario Campana Revocable Trust. The Reporting Person is the ultimate beneficial owner of the Dario Campana Revocable Trust, and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001209191-20-054312 · doc4.xml · nonDerivative · entry 15

CAMPANA DARIO · CIK 0001735220 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By IPCT Holdings LLC

Disclosed balance after: 3,635,393

F1 · ownership.nature: Shares held by IPCT Holdings LLC ("IPCT"). IPCT is fully owned by South Dakota Trust Company, LLC, solely in its capacity as trustee of the Dario Campana Revocable Trust. The Reporting Person is the ultimate beneficial owner of the Dario Campana Revocable Trust, and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001209191-20-054312 · doc4.xml · nonDerivative · entry 14

CAMPANA DARIO · CIK 0001735220 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By IPCT Holdings LLC

Disclosed balance after: 3,636,193

F1 · ownership.nature: Shares held by IPCT Holdings LLC ("IPCT"). IPCT is fully owned by South Dakota Trust Company, LLC, solely in its capacity as trustee of the Dario Campana Revocable Trust. The Reporting Person is the ultimate beneficial owner of the Dario Campana Revocable Trust, and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001209191-20-054312 · doc4.xml · nonDerivative · entry 13

CAMPANA DARIO · CIK 0001735220 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By IPCT Holdings LLC

Disclosed balance after: 3,712,187

F1 · ownership.nature: Shares held by IPCT Holdings LLC ("IPCT"). IPCT is fully owned by South Dakota Trust Company, LLC, solely in its capacity as trustee of the Dario Campana Revocable Trust. The Reporting Person is the ultimate beneficial owner of the Dario Campana Revocable Trust, and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001209191-20-054312 · doc4.xml · nonDerivative · entry 12

CAMPANA DARIO · CIK 0001735220 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By IPCT Holdings LLC

Disclosed balance after: 4,095,114

F1 · ownership.nature: Shares held by IPCT Holdings LLC ("IPCT"). IPCT is fully owned by South Dakota Trust Company, LLC, solely in its capacity as trustee of the Dario Campana Revocable Trust. The Reporting Person is the ultimate beneficial owner of the Dario Campana Revocable Trust, and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001209191-20-054312 · doc4.xml · nonDerivative · entry 11

CAMPANA DARIO · CIK 0001735220 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By IPCT Holdings LLC

Disclosed balance after: 4,110,162

F1 · ownership.nature: Shares held by IPCT Holdings LLC ("IPCT"). IPCT is fully owned by South Dakota Trust Company, LLC, solely in its capacity as trustee of the Dario Campana Revocable Trust. The Reporting Person is the ultimate beneficial owner of the Dario Campana Revocable Trust, and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.