COGT

SEC source: 0001209191-20-054312 · doc4.xml · nonDerivative · entry 10

CAMPANA DARIO · CIK 0001735220 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By IPCT Holdings LLC

Disclosed balance after: 4,352,741

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 9

CAMPANA DARIO · CIK 0001735220 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By IPCT Holdings LLC

Disclosed balance after: 4,365,347

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 8

CAMPANA DARIO · CIK 0001735220 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By IPCT Holdings LLC

Disclosed balance after: 4,430,887

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 7

CAMPANA DARIO · CIK 0001735220 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By IPCT Holdings LLC

Disclosed balance after: 4,431,487

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 6

CAMPANA DARIO · CIK 0001735220 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By IPCT Holdings LLC

Disclosed balance after: 4,514,269

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 5

CAMPANA DARIO · CIK 0001735220 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By IPCT Holdings LLC

Disclosed balance after: 4,558,275

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 4

CAMPANA DARIO · CIK 0001735220 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By IPCT Holdings LLC

Disclosed balance after: 4,613,242

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 3

CAMPANA DARIO · CIK 0001735220 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By IPCT Holdings LLC

Disclosed balance after: 5,033,534

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 2

CAMPANA DARIO · CIK 0001735220 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By IPCT Holdings LLC

Disclosed balance after: 5,033,634

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: 0001209191-20-023944 · doc4.xml · derivative · entry 1

Booth Bruce · CIK 0001451612 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,735

Underlying: Common Stock · 86,735 shares

Expires 2030-04-06

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: 0001209191-20-023946 · doc4.xml · derivative · entry 1

Ros Matthew · CIK 0001673802 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,887

Underlying: Common Stock · 49,887 shares

Expires 2030-04-06

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: 0001209191-20-023943 · doc4.xml · derivative · entry 1

Aldag Jorn · CIK 0001734412 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,690

Underlying: Common Stock · 56,690 shares

Expires 2030-04-06

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: 0001209191-20-023945 · doc4.xml · derivative · entry 1

Ferrante Karen Jean · CIK 0001598502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,422

Underlying: Common Stock · 54,422 shares

Expires 2030-04-06

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: 0001209191-20-054312 · doc4.xml · nonDerivative · entry 1

CAMPANA DARIO · CIK 0001735220 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By IPCT Holdings LLC

Disclosed balance after: 5,045,034

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: 0001209191-20-009297 · doc4.xml · derivative · entry 1

Sachs Jessica · CIK 0001782545 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,200

Underlying: Common Stock · 133,200 shares

Expires 2030-02-11

F1 · derivative.exercise_date: 25% of the shares vests on February 11, 2021, and the remaining shares shall vest in 36 equal monthly installments thereafter, subject to the Reporting Persons continuous service with the Issuer.

SEC source: 0001209191-20-009293 · doc4.xml · derivative · entry 1

Osborne Matthew Scott · CIK 0001780543 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,400

Underlying: Common Stock · 160,400 shares

Expires 2030-02-11

F1 · derivative.exercise_date: 25% of the shares vests on February 11, 2021, and the remaining shares shall vest in 36 equal monthly installments thereafter, subject to the Reporting Persons continuous service with the Issuer.

SEC source: 0001209191-20-009287 · doc4.xml · derivative · entry 1

Green John L. · CIK 0001709773 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,400

Underlying: Common Stock · 64,400 shares

Expires 2030-02-11

F1 · derivative.exercise_date: 25% of the shares vests on February 11, 2021, and the remaining shares shall vest in 36 equal monthly installments thereafter, subject to the Reporting Persons continuous service with the Issuer.

SEC source: 0001209191-20-009285 · doc4.xml · derivative · entry 1

Ettenberg Seth · CIK 0001734419 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,600

Underlying: Common Stock · 153,600 shares

Expires 2030-02-11

F1 · derivative.exercise_date: 25% of the shares vests on February 11, 2021, and the remaining shares shall vest in 36 equal monthly installments thereafter, subject to the Reporting Persons continuous service with the Issuer.

SEC source: 0001209191-20-009289 · doc4.xml · derivative · entry 1

HODGE GEOFFREY · CIK 0001734826 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,400

Underlying: Common Stock · 112,400 shares

Expires 2030-02-11

F1 · derivative.exercise_date: 25% of the shares vests on February 11, 2021, and the remaining shares shall vest in 36 equal monthly installments thereafter, subject to the Reporting Persons continuous service with the Issuer.

SEC source: 0001209191-20-001885 · doc4.xml · derivative · entry 1

Ros Matthew · CIK 0001673802 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,274

Underlying: Common Stock · 24,274 shares

Expires 2030-01-02

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: 0001209191-20-001886 · doc4.xml · derivative · entry 1

Booth Bruce · CIK 0001451612 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,996

Underlying: Common Stock · 39,996 shares

Expires 2030-01-02

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 his pecuniary interest therein, if any.

SEC source: 0001209191-20-001888 · doc4.xml · derivative · entry 1

Aldag Jorn · CIK 0001734412 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,790

Underlying: Common Stock · 29,790 shares

Expires 2030-01-02

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: 0001209191-20-001889 · doc4.xml · derivative · entry 1

Ferrante Karen Jean · CIK 0001598502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,480

Underlying: Common Stock · 26,480 shares

Expires 2030-01-02

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: 0001209191-19-057694 · doc4.xml · derivative · entry 1

Ettenberg Seth · CIK 0001734419 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,000

Underlying: Common Stock · 280,000 shares

Expires 2029-11-19

F1 · derivative.exercise_date: 25% of the shares vests on November 19, 2020, and the remaining shares shall vest in 24 equal monthly installments thereafter, subject to the Reporting Person's continuous service with the Issuer.

SEC source: 0001209191-19-057693 · doc4.xml · derivative · entry 1

Green John L. · CIK 0001709773 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,459

Underlying: Common Stock · 109,459 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of UMRX common stock.

F2 · derivative.exercise_date: The restricted stock units shall vest 25% on November 19, 2020, and then in equal monthly installments thereafter for the remaining 12 months, subject to the Reporting Person's continuous service with the Issuer.

F2 · derivative.expiration_date: The restricted stock units shall vest 25% on November 19, 2020, and then in equal monthly installments thereafter for the remaining 12 months, subject to the Reporting Person's continuous service with the Issuer.

SEC source: 0001209191-19-052270 · doc4.xml · derivative · entry 1

Ros Matthew · CIK 0001673802 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,509

Underlying: Common Stock · 12,509 shares

Expires 2029-10-01

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: 0001209191-19-052255 · doc4.xml · derivative · entry 1

Booth Bruce · CIK 0001451612 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,611

Underlying: Common Stock · 20,611 shares

Expires 2029-10-01

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.

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: 0001209191-19-052261 · doc4.xml · derivative · entry 1

Ferrante Karen Jean · CIK 0001598502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,646

Underlying: Common Stock · 13,646 shares

Expires 2029-10-01

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: 0001209191-19-052238 · doc4.xml · derivative · entry 1

Aldag Jorn · CIK 0001734412 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,352

Underlying: Common Stock · 15,352 shares

Expires 2029-10-01

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: 0001209191-19-043472 · doc4.xml · derivative · entry 1

Ros Matthew · CIK 0001673802 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,661

Underlying: Common Stock · 28,661 shares

Expires 2029-07-26

F1 · derivative.exercise_date: This stock option shall vest in 36 equal monthly installments; subject to continued service to the Issuer.

SEC source: 0001209191-19-043470 · doc4.xml · derivative · entry 1

Morris Arlene · CIK 0001362520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,661

Underlying: Common Stock · 28,661 shares

Expires 2029-07-26

F1 · derivative.exercise_date: This stock option shall vest in 36 equal monthly installments; subject to continued service to the Issuer.

SEC source: 0001209191-19-042875 · doc4.xml · derivative · entry 1

Sachs Jessica · CIK 0001782545 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,800

Underlying: Common Stock · 123,800 shares

Expires 2029-07-19

F1 · derivative.exercise_date: This stock option shall vest as follows: 25% on July 15, 2020, then in equal monthly installments over 36 months, subject to the Reporting Person's continuous service with the Issuer.

SEC source: 0001209191-19-041040 · doc4.xml · derivative · entry 1

Booth Bruce · CIK 0001451612 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,285

Underlying: Common Stock · 10,285 shares

Expires 2029-07-01

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 his pecuniary interest therein, if any.

SEC source: 0001209191-19-041043 · doc4.xml · derivative · entry 1

Ferrante Karen Jean · CIK 0001598502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,199

Underlying: Common Stock · 6,199 shares

Expires 2029-07-01

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: 0001209191-19-041035 · doc4.xml · derivative · entry 1

Aldag Jorn · CIK 0001734412 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,608

Underlying: Common Stock · 7,608 shares

Expires 2029-07-01

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: 0001209191-19-038965 · doc4.xml · derivative · entry 1

Osborne Matthew Scott · CIK 0001780543 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,000

Underlying: Common Stock · 190,000 shares

Expires 2029-06-24

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: 0001209191-19-038217 · 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 2029-06-18

F1 · derivative.exercise_date: This option shall vest in full on the earlier of (i) June 18, 2020, and (ii) the next annual meeting of the Issuer's stockholders.

F2 · 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: 0001209191-19-038220 · 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 2029-06-18

F1 · derivative.exercise_date: This option shall vest in full on the earlier of (i) June 18, 2020, and (ii) the next annual meeting of the Issuer's stockholders.

SEC source: 0001209191-19-038214 · 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 2029-06-18

F1 · derivative.exercise_date: This option shall vest in full on the earlier of (i) June 18, 2020, and (ii) the next annual meeting of the Issuer's stockholders.

SEC source: 0001209191-19-037689 · doc4.xml · derivative · entry 1

PEREZ ROBERT J · CIK 0001263230 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,131

Underlying: Common Stock · 7,131 shares

Expires 2029-06-14

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: 0001209191-19-037693 · doc4.xml · derivative · entry 1

Ratcliffe Liam · CIK 0001547100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,881

Underlying: Common Stock · 7,881 shares

Expires 2029-06-14

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: 0001209191-19-026221 · doc4.xml · derivative · entry 1

Green John L. · CIK 0001709773 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,814

Underlying: Common Stock · 16,814 shares

Expires 2029-04-24

F1 · derivative.exercise_date: 25% of the shares vest on April 24, 2020, and the remaining shares shall vest in 36 equal monthly installments thereafter, subject to the Reporting Person's continuous service with the Issuer.

SEC source: 0001209191-19-025600 · doc4a.xml · derivative · entry 1

Green John L. · CIK 0001709773 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,017

Underlying: Common Stock · 21,017 shares

Expires 2029-04-19

F1 · derivative.exercise_date: 25% of the shares vests on March 1, 2020, and the remaining shares shall vest in 36 equal monthly installments thereafter, subject to the Reporting Persons continuous service with the Issuer.

SEC source: 0001209191-19-023119 · doc4.xml · derivative · entry 1

Booth Bruce · CIK 0001451612 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,714

Underlying: Common Stock · 6,714 shares

Expires 2029-04-01

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: 0001209191-19-023130 · doc4.xml · derivative · entry 1

PEREZ ROBERT J · CIK 0001263230 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,369

Underlying: Common Stock · 4,369 shares

Expires 2029-04-01

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: 0001209191-19-023141 · doc4.xml · derivative · entry 1

Ratcliffe Liam · CIK 0001547100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,829

Underlying: Common Stock · 4,829 shares

Expires 2029-04-01

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: 0001209191-19-023125 · doc4.xml · derivative · entry 1

Ferrante Karen Jean · CIK 0001598502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,047

Underlying: Common Stock · 4,047 shares

Expires 2029-04-01

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: 0001209191-19-023093 · doc4.xml · derivative · entry 1

Aldag Jorn · CIK 0001734412 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,966

Underlying: Common Stock · 4,966 shares

Expires 2029-04-01

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: 0001209191-19-021324 · doc4.xml · derivative · entry 3

Ettenberg Seth · CIK 0001734419 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 329,145

Underlying: Common Stock · 11,485 shares

Expires 2025-01-28

F3 · derivative.exercise_date: 25% of the shares vests on September 3, 2015, and the remaining shares shall vest in 36 equal monthly installments thereafter, subject to the Reporting Persons continuous service with the Issuer.

SEC source: 0001209191-19-021324 · doc4.xml · nonDerivative · entry 2

Ettenberg Seth · CIK 0001734419 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.00 to $4.39, inclusive. The reporting person undertakes to provide to Unum Therapeutics Inc., any security holder of Unum Therapeutics Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.