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COGT

Cogent Biosciences, Inc.

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3793
SEC CIK
0001622229
Parsed reports
248

Last 12 months

Inside the activity.

0 purchase rows · 8 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202504
Jan 202601
Feb 202600
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Aug 202602
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
March 25, 2019 Filed Mar 26, 2019 20:23 UTC
Ettenberg SethChief Scientific Officer
Exercise / conversionCommon Stock 11,485 $0.18 $2,067.30
Disclosure

SEC source: 0001209191-19-021324 · doc4.xml · nonDerivative · entry 1

Ettenberg Seth · CIK 0001734419 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,485

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.

Read SEC document
March 25, 2019 Filed Apr 3, 2019 20:13 UTC Amendment
Ettenberg SethChief Scientific Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 11,485 $0.00 Strike: $0.18 $0.00
Disclosure

SEC source: 0001209191-19-023074 · doc4a.xml · derivative · entry 1

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

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_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.

Read SEC document
March 01, 2019 Filed Apr 11, 2019 20:41 UTC
WILSON CHARLESDirector · Chief Executive Officer
GrantStock Option (Right to Buy) · Derivative 174,400 $0.00 Strike: $4.36 $0.00
Disclosure

SEC source: 0001209191-19-024380 · doc4.xml · derivative · entry 1

WILSON CHARLES · CIK 0001734926 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,400

Underlying: Common Stock · 174,400 shares

Expires 2029-03-01

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.

Read SEC document
March 01, 2019 Filed Apr 11, 2019 20:39 UTC
VASCONCELLES MICHAELChief Medical Officer
GrantStock Option (Right to Buy) · Derivative 61,900 $0.00 Strike: $4.36 $0.00
Disclosure

SEC source: 0001209191-19-024375 · doc4.xml · derivative · entry 1

VASCONCELLES MICHAEL · CIK 0001734755 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,900

Underlying: Common Stock · 61,900 shares

Expires 2029-03-01

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.

Read SEC document
March 01, 2019 Filed Apr 11, 2019 20:36 UTC
HODGE GEOFFREYChief Technical Officer
GrantStock Option (Right to Buy) · Derivative 28,000 $0.00 Strike: $4.36 $0.00
Disclosure

SEC source: 0001209191-19-024371 · doc4.xml · derivative · entry 1

HODGE GEOFFREY · CIK 0001734826 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,000

Underlying: Common Stock · 28,000 shares

Expires 2029-03-01

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.

Read SEC document
March 01, 2019 Filed Apr 11, 2019 20:34 UTC
Green John L.See Remarks
GrantStock Option (Right to Buy) · Derivative 21,017 $0.00 Strike: $4.36 $0.00
Disclosure

SEC source: 0001209191-19-024366 · doc4.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 2029-03-01

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.

Read SEC document
March 01, 2019 Filed Apr 11, 2019 20:30 UTC
Ettenberg SethChief Scientific Officer
GrantStock Option (Right to Buy) · Derivative 69,700 $0.00 Strike: $4.36 $0.00
Disclosure

SEC source: 0001209191-19-024361 · doc4.xml · derivative · entry 1

Ettenberg Seth · CIK 0001734419 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,700

Underlying: Common Stock · 69,700 shares

Expires 2029-03-01

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.

Read SEC document
February 25, 2019 Filed Feb 26, 2019 21:36 UTC
Ettenberg SethChief Scientific Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 11,485 $0.00 Strike: $0.18 $0.00
Disclosure

SEC source: 0001209191-19-013558 · doc4.xml · derivative · entry 3

Ettenberg Seth · CIK 0001734419 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 340,630

Underlying: Common Stock · 11,485 shares

Expires 2025-01-28

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.

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.

Read SEC document
February 25, 2019 Filed Feb 26, 2019 21:36 UTC
Ettenberg SethChief Scientific Officer
SaleCommon Stock 11,485 $4.25 $48,852.60
Disclosure

SEC source: 0001209191-19-013558 · 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 $4.12 to $4.37, 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.

Read SEC document
February 25, 2019 Filed Feb 26, 2019 21:36 UTC
Ettenberg SethChief Scientific Officer
Exercise / conversionCommon Stock 11,485 $0.18 $2,067.30
Disclosure

SEC source: 0001209191-19-013558 · doc4.xml · nonDerivative · entry 1

Ettenberg Seth · CIK 0001734419 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,485

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.

Read SEC document
January 02, 2019 Filed Jan 4, 2019 21:52 UTC
Booth BruceDirector
GrantStock Option (Right to Buy) · Derivative 6,757 $2.70 Strike: $4.47 $18,243.90
Disclosure

SEC source: 0001209191-19-002040 · doc4.xml · derivative · entry 1

Booth Bruce · CIK 0001451612 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,757

Underlying: Common Stock · 6,757 shares

Expires 2029-01-02

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 therefore the Reporting Person disclaims beneficial ownership of such shares.

Read SEC document
January 02, 2019 Filed Jan 4, 2019 21:55 UTC GrantStock Option (Right to Buy) · Derivative 4,397 $2.70 Strike: $4.47 $11,871.90
Disclosure

SEC source: 0001209191-19-002045 · doc4.xml · derivative · entry 1

PEREZ ROBERT J · CIK 0001263230 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,397

Underlying: Common Stock · 4,397 shares

Expires 2029-01-02

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.

Read SEC document
January 02, 2019 Filed Jan 4, 2019 21:57 UTC GrantStock Option (Right to Buy) · Derivative 4,860 $2.70 Strike: $4.47 $13,122.00
Disclosure

SEC source: 0001209191-19-002049 · doc4.xml · derivative · entry 1

Ratcliffe Liam · CIK 0001547100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,860

Underlying: Common Stock · 4,860 shares

Expires 2029-01-02

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.

Read SEC document
January 02, 2019 Filed Jan 4, 2019 21:54 UTC GrantStock Option (Right to Buy) · Derivative 4,073 $2.70 Strike: $4.47 $10,997.10
Disclosure

SEC source: 0001209191-19-002042 · doc4.xml · derivative · entry 1

Ferrante Karen Jean · CIK 0001598502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,073

Underlying: Common Stock · 4,073 shares

Expires 2029-01-02

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.

Read SEC document
January 02, 2019 Filed Jan 4, 2019 21:50 UTC
Aldag JornDirector
GrantStock Option (Right to Buy) · Derivative 4,999 $2.70 Strike: $4.47 $13,497.30
Disclosure

SEC source: 0001209191-19-002037 · doc4.xml · derivative · entry 1

Aldag Jorn · CIK 0001734412 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,999

Underlying: Common Stock · 4,999 shares

Expires 2029-01-02

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.

Read SEC document
December 26, 2018 Filed Dec 29, 2018 00:09 UTC
Ettenberg SethChief Scientific Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 11,485 $0.00 Strike: $0.18 $0.00
Disclosure

SEC source: 0000899243-18-031952 · doc4.xml · derivative · entry 3

Ettenberg Seth · CIK 0001734419 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 352,115

Underlying: Common Stock · 11,485 shares

Expires 2025-01-28

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.

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.

Read SEC document
December 26, 2018 Filed Dec 29, 2018 00:09 UTC
Ettenberg SethChief Scientific Officer
SaleCommon Stock 11,485 $4.05 $46,486.69
Disclosure

SEC source: 0000899243-18-031952 · 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 $4.36, 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.

Read SEC document
December 26, 2018 Filed Dec 29, 2018 00:09 UTC
Ettenberg SethChief Scientific Officer
Exercise / conversionCommon Stock 11,485 $0.18 $2,067.30
Disclosure

SEC source: 0000899243-18-031952 · doc4.xml · nonDerivative · entry 1

Ettenberg Seth · CIK 0001734419 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,485

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.

Read SEC document
November 26, 2018 Filed Nov 27, 2018 00:54 UTC
Ettenberg SethChief Scientific Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 11,485 $0.00 Strike: $0.18 $0.00
Disclosure

SEC source: 0001209191-18-059969 · doc4.xml · derivative · entry 3

Ettenberg Seth · CIK 0001734419 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 363,600

Underlying: Common Stock · 11,485 shares

Expires 2025-01-28

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.

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.

Read SEC document
November 26, 2018 Filed Nov 27, 2018 00:54 UTC
Ettenberg SethChief Scientific Officer
SaleCommon Stock 11,485 $7.00 $80,444.39
Disclosure

SEC source: 0001209191-18-059969 · 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 $6.79 to $7.41, 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.

Read SEC document
November 26, 2018 Filed Nov 27, 2018 00:54 UTC
Ettenberg SethChief Scientific Officer
Exercise / conversionCommon Stock 11,485 $0.18 $2,067.30
Disclosure

SEC source: 0001209191-18-059969 · doc4.xml · nonDerivative · entry 1

Ettenberg Seth · CIK 0001734419 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,485

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.

Read SEC document
October 25, 2018 Filed Oct 29, 2018 20:41 UTC
Ettenberg SethChief Scientific Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 11,485 $0.00 Strike: $0.18 $0.00
Disclosure

SEC source: 0001209191-18-056421 · doc4.xml · derivative · entry 3

Ettenberg Seth · CIK 0001734419 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,085

Underlying: Common Stock · 11,485 shares

Expires 2025-01-28

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.

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.

Read SEC document
October 25, 2018 Filed Oct 29, 2018 20:41 UTC
Ettenberg SethChief Scientific Officer
SaleCommon Stock 11,485 $8.46 $97,201.00
Disclosure

SEC source: 0001209191-18-056421 · 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 $8.06 to $8.67, 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.

Read SEC document
October 25, 2018 Filed Oct 29, 2018 20:41 UTC
Ettenberg SethChief Scientific Officer
Exercise / conversionCommon Stock 11,485 $0.18 $2,067.30
Disclosure

SEC source: 0001209191-18-056421 · doc4.xml · nonDerivative · entry 1

Ettenberg Seth · CIK 0001734419 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,485

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.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 21:12 UTC
Booth BruceDirector
GrantStock Option (Right to Buy) · Derivative 2,935 $6.22 Strike: $10.37 $18,255.70
Disclosure

SEC source: 0001209191-18-053961 · doc4.xml · derivative · entry 1

Booth Bruce · CIK 0001451612 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,935

Underlying: Common Stock · 2,935 shares

Expires 2028-10-01

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 therefore the Reporting Person disclaims beneficial ownership of such shares.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 21:16 UTC GrantStock Option (Right to Buy) · Derivative 1,910 $6.22 Strike: $10.37 $11,880.20
Disclosure

SEC source: 0001209191-18-053967 · doc4.xml · derivative · entry 1

PEREZ ROBERT J · CIK 0001263230 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,910

Underlying: Common Stock · 1,910 shares

Expires 2028-10-01

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.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 21:19 UTC GrantStock Option (Right to Buy) · Derivative 2,111 $6.22 Strike: $10.37 $13,130.42
Disclosure

SEC source: 0001209191-18-053976 · doc4.xml · derivative · entry 1

Ratcliffe Liam · CIK 0001547100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,111

Underlying: Common Stock · 2,111 shares

Expires 2028-10-01

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.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 21:14 UTC GrantStock Option (Right to Buy) · Derivative 1,769 $6.22 Strike: $10.37 $11,003.18
Disclosure

SEC source: 0001209191-18-053965 · doc4.xml · derivative · entry 1

Ferrante Karen Jean · CIK 0001598502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,769

Underlying: Common Stock · 1,769 shares

Expires 2028-10-01

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.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 21:10 UTC
Aldag JornDirector
GrantStock Option (Right to Buy) · Derivative 2,171 $6.22 Strike: $10.37 $13,503.62
Disclosure

SEC source: 0001209191-18-053949 · doc4.xml · derivative · entry 1

Aldag Jorn · CIK 0001734412 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,171

Underlying: Common Stock · 2,171 shares

Expires 2028-10-01

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.

Read SEC document
September 25, 2018 Filed Sep 26, 2018 22:41 UTC
Ettenberg SethChief Scientific Officer
SaleCommon Stock 11,485 $12.47 $143,181.20
Disclosure

SEC source: 0001209191-18-052358 · 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 $12.11 to $12.90, 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.

Read SEC document
September 25, 2018 Filed Sep 26, 2018 22:41 UTC
Ettenberg SethChief Scientific Officer
Exercise / conversionCommon Stock 11,485 $0.18 $2,067.30
Disclosure

SEC source: 0001209191-18-052358 · doc4.xml · nonDerivative · entry 1

Ettenberg Seth · CIK 0001734419 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,485

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.

Read SEC document
September 24, 2018 Filed Sep 26, 2018 22:41 UTC
Ettenberg SethChief Scientific Officer
Exercise / conversionStock Option (Right to Buy) · Derivative 11,485 $0.00 Strike: $0.18 $0.00
Disclosure

SEC source: 0001209191-18-052358 · doc4.xml · derivative · entry 3

Ettenberg Seth · CIK 0001734419 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 386,570

Underlying: Common Stock · 11,485 shares

Expires 2025-01-28

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.

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.

Read SEC document
July 26, 2018 Filed Sep 26, 2018 22:39 UTC
Booth BruceDirector
GrantStock Option (Right to Buy) · Derivative 2,092 $8.72 Strike: $14.57 $18,242.24
Disclosure

SEC source: 0001209191-18-052356 · doc4.xml · derivative · entry 1

Booth Bruce · CIK 0001451612 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,092

Underlying: Common Stock · 2,092 shares

Expires 2028-07-26

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 therefore the Reporting Person disclaims beneficial ownership of such shares.

Read SEC document
July 26, 2018 Filed Sep 26, 2018 22:46 UTC GrantStock Option (Right to Buy) · Derivative 1,361 $8.72 Strike: $14.57 $11,867.92
Disclosure

SEC source: 0001209191-18-052363 · doc4.xml · derivative · entry 1

PEREZ ROBERT J · CIK 0001263230 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,361

Underlying: Common Stock · 1,361 shares

Expires 2028-07-26

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.

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July 26, 2018 Filed Sep 26, 2018 22:47 UTC GrantStock Option (Right to Buy) · Derivative 1,504 $8.72 Strike: $14.57 $13,114.88
Disclosure

SEC source: 0001209191-18-052365 · doc4.xml · derivative · entry 1

Ratcliffe Liam · CIK 0001547100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,504

Underlying: Common Stock · 1,504 shares

Expires 2028-07-26

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.

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July 26, 2018 Filed Sep 26, 2018 22:43 UTC GrantStock Option (Right to Buy) · Derivative 1,261 $8.72 Strike: $14.57 $10,995.92
Disclosure

SEC source: 0001209191-18-052360 · doc4.xml · derivative · entry 1

Ferrante Karen Jean · CIK 0001598502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,261

Underlying: Common Stock · 1,261 shares

Expires 2028-07-26

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.

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July 26, 2018 Filed Sep 26, 2018 22:37 UTC
Aldag JornDirector
GrantStock Option (Right to Buy) · Derivative 1,547 $8.72 Strike: $14.57 $13,489.84
Disclosure

SEC source: 0001209191-18-052354 · doc4.xml · derivative · entry 1

Aldag Jorn · CIK 0001734412 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,547

Underlying: Common Stock · 1,547 shares

Expires 2028-07-26

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.

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April 03, 2018 Filed Apr 3, 2018 17:11 UTC ConversionSeries B Preferred Stock · Derivative 83,037 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-009264 · doc4.xml · derivative · entry 5

Atlas Venture Fund IX, L.P. · CIK 0001671219 · 10% owner

Atlas Venture Associates IX, L.P. · CIK 0001671208 · 10% owner

Atlas Venture Associates IX, LLC · CIK 0001671207 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 83,037 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 share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.exercise_date: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.expiration_date: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.direct: The shares are held directly by Atlas Venture Fund IX, L.P. ("Atlas Venture Fund IX"). The general partner of Atlas Venture Fund IX is Atlas Venture Associates IX, L.P. ("AVA IX LP"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Each of AVA IX LP and AVA IX LLC disclaim Section 16 beneficial ownership of the securities held by Atlas Venture Fund IX, except to the extent of its pecuniary interest therein, if any.

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April 03, 2018 Filed Apr 3, 2018 17:11 UTC ConversionSeries A Preferred Stock · Derivative 3,184,446 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-009264 · doc4.xml · derivative · entry 4

Atlas Venture Fund IX, L.P. · CIK 0001671219 · 10% owner

Atlas Venture Associates IX, L.P. · CIK 0001671208 · 10% owner

Atlas Venture Associates IX, LLC · CIK 0001671207 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,184,446 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 share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.exercise_date: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.expiration_date: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.direct: The shares are held directly by Atlas Venture Fund IX, L.P. ("Atlas Venture Fund IX"). The general partner of Atlas Venture Fund IX is Atlas Venture Associates IX, L.P. ("AVA IX LP"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Each of AVA IX LP and AVA IX LLC disclaim Section 16 beneficial ownership of the securities held by Atlas Venture Fund IX, except to the extent of its pecuniary interest therein, if any.

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April 03, 2018 Filed Apr 3, 2018 17:11 UTC PurchaseCommon Stock 94,052 $12.00 $1,128,624.00
Disclosure

SEC source: 0000899243-18-009264 · doc4.xml · nonDerivative · entry 3

Atlas Venture Fund IX, L.P. · CIK 0001671219 · 10% owner

Atlas Venture Associates IX, L.P. · CIK 0001671208 · 10% owner

Atlas Venture Associates IX, LLC · CIK 0001671207 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,361,535

F2 · ownership.direct: The shares are held directly by Atlas Venture Fund IX, L.P. ("Atlas Venture Fund IX"). The general partner of Atlas Venture Fund IX is Atlas Venture Associates IX, L.P. ("AVA IX LP"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Each of AVA IX LP and AVA IX LLC disclaim Section 16 beneficial ownership of the securities held by Atlas Venture Fund IX, except to the extent of its pecuniary interest therein, if any.

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April 03, 2018 Filed Apr 3, 2018 17:11 UTC ConversionCommon Stock 83,037 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-009264 · doc4.xml · nonDerivative · entry 2

Atlas Venture Fund IX, L.P. · CIK 0001671219 · 10% owner

Atlas Venture Associates IX, L.P. · CIK 0001671208 · 10% owner

Atlas Venture Associates IX, LLC · CIK 0001671207 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,267,483

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 share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.direct: The shares are held directly by Atlas Venture Fund IX, L.P. ("Atlas Venture Fund IX"). The general partner of Atlas Venture Fund IX is Atlas Venture Associates IX, L.P. ("AVA IX LP"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Each of AVA IX LP and AVA IX LLC disclaim Section 16 beneficial ownership of the securities held by Atlas Venture Fund IX, except to the extent of its pecuniary interest therein, if any.

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April 03, 2018 Filed Apr 3, 2018 17:11 UTC ConversionCommon Stock 3,184,446 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-009264 · doc4.xml · nonDerivative · entry 1

Atlas Venture Fund IX, L.P. · CIK 0001671219 · 10% owner

Atlas Venture Associates IX, L.P. · CIK 0001671208 · 10% owner

Atlas Venture Associates IX, LLC · CIK 0001671207 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,184,446

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 share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.direct: The shares are held directly by Atlas Venture Fund IX, L.P. ("Atlas Venture Fund IX"). The general partner of Atlas Venture Fund IX is Atlas Venture Associates IX, L.P. ("AVA IX LP"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Each of AVA IX LP and AVA IX LLC disclaim Section 16 beneficial ownership of the securities held by Atlas Venture Fund IX, except to the extent of its pecuniary interest therein, if any.

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April 03, 2018 Filed Apr 3, 2018 21:07 UTC
Booth BruceDirector
ConversionSeries B Preferred Stock · Derivative 83,037 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-009260 · doc4.xml · derivative · entry 5

Booth Bruce · CIK 0001451612 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 83,037 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 share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.exercise_date: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.expiration_date: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.nature: The shares are held directly by Atlas Venture Fund IX, L.P. ("Atlas Venture Fund IX"). The general partner of Atlas Venture Fund IX is Atlas Venture Associates IX, L.P. ("AVA IX LP"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Booth is a member of AVA IX LLC and disclaims beneficial ownership of such securities held by Atlas Venture Fund IX, except to the extent of his pecuniary interest therein, if any.

Read SEC document
April 03, 2018 Filed Apr 3, 2018 21:07 UTC
Booth BruceDirector
ConversionSeries A Preferred Stock · Derivative 3,184,446 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-009260 · doc4.xml · derivative · entry 4

Booth Bruce · CIK 0001451612 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 3,184,446 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 share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.exercise_date: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.expiration_date: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.nature: The shares are held directly by Atlas Venture Fund IX, L.P. ("Atlas Venture Fund IX"). The general partner of Atlas Venture Fund IX is Atlas Venture Associates IX, L.P. ("AVA IX LP"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Booth is a member of AVA IX LLC and disclaims beneficial ownership of such securities held by Atlas Venture Fund IX, except to the extent of his pecuniary interest therein, if any.

Read SEC document
April 03, 2018 Filed Apr 3, 2018 21:07 UTC
Booth BruceDirector
PurchaseCommon Stock 94,052 $12.00 $1,128,624.00
Disclosure

SEC source: 0000899243-18-009260 · doc4.xml · nonDerivative · entry 3

Booth Bruce · CIK 0001451612 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,361,535

F2 · ownership.nature: The shares are held directly by Atlas Venture Fund IX, L.P. ("Atlas Venture Fund IX"). The general partner of Atlas Venture Fund IX is Atlas Venture Associates IX, L.P. ("AVA IX LP"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Booth is a member of AVA IX LLC and disclaims beneficial ownership of such securities held by Atlas Venture Fund IX, except to the extent of his pecuniary interest therein, if any.

Read SEC document
April 03, 2018 Filed Apr 3, 2018 21:07 UTC
Booth BruceDirector
ConversionCommon Stock 83,037 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-009260 · doc4.xml · nonDerivative · entry 2

Booth Bruce · CIK 0001451612 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,267,483

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 share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.nature: The shares are held directly by Atlas Venture Fund IX, L.P. ("Atlas Venture Fund IX"). The general partner of Atlas Venture Fund IX is Atlas Venture Associates IX, L.P. ("AVA IX LP"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Booth is a member of AVA IX LLC and disclaims beneficial ownership of such securities held by Atlas Venture Fund IX, except to the extent of his pecuniary interest therein, if any.

Read SEC document
April 03, 2018 Filed Apr 3, 2018 21:07 UTC
Booth BruceDirector
ConversionCommon Stock 3,184,446 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-18-009260 · doc4.xml · nonDerivative · entry 1

Booth Bruce · CIK 0001451612 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,184,446

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 share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.nature: The shares are held directly by Atlas Venture Fund IX, L.P. ("Atlas Venture Fund IX"). The general partner of Atlas Venture Fund IX is Atlas Venture Associates IX, L.P. ("AVA IX LP"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Dr. Booth is a member of AVA IX LLC and disclaims beneficial ownership of such securities held by Atlas Venture Fund IX, except to the extent of his pecuniary interest therein, if any.

Read SEC document
April 03, 2018 Filed Apr 3, 2018 20:30 UTC ConversionSeries B Preferred Stock · Derivative 977,836 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-022971 · doc4.xml · derivative · entry 6

Ratcliffe Liam · CIK 0001547100 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 622,773 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 share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · price: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.exercise_date: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.expiration_date: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares have no expiration date.

F4 · ownership.nature: The shares are held directly by New Leaf Ventures III, L.P. ("NLV III").New Leaf Venture Associates III, L.P. ("NLV Associates III") is the sole general partner of NLV III. NLV Management III is the sole general partner of NLV Associates III. NLVP is the investment adviser of NLV III.Each of NLV Associates and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Each of the Members may be deemed to have shared voting and dispositive power of these securities. Continued in Footnote 5

F5 · ownership.nature: Continued from Footnote 4: Each of the Members disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 of any other purpose, except to the extent of their respective pecuniary interests therein.

Read SEC document
April 03, 2018 Filed Apr 3, 2018 20:30 UTC ConversionSeries B Preferred Stock · Derivative 977,835 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-022971 · doc4.xml · derivative · entry 5

Ratcliffe Liam · CIK 0001547100 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 622,772 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 share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · price: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.exercise_date: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.expiration_date: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares have no expiration date.

F2 · ownership.nature: The shares are held directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. New Leaf Venture Management III, L.L.C. ("NLV Management III") is the sole general partner of NLBA I. New Leaf Venture Partners, L.L.C. ("NLVP") is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Each of the Reporting Person, Ronald M. Hunt and Vijay K. Lathi (each a "Member" and collectively, the "Members") is a member of NLV Management III and may be deemed to have shared voting and dispositive power of these securities. Continued in Footnote 3

F3 · ownership.nature: Continued from Footnote 2: Each of the Members disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 of any other purpose, except to the extent of their respective pecuniary interests therein.

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April 03, 2018 Filed Apr 3, 2018 20:30 UTC PurchaseCommon Stock 275,000 $12.00 $3,300,000.00
Disclosure

SEC source: 0001209191-18-022971 · doc4.xml · nonDerivative · entry 4

Ratcliffe Liam · CIK 0001547100 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 897,773

F4 · ownership.nature: The shares are held directly by New Leaf Ventures III, L.P. ("NLV III").New Leaf Venture Associates III, L.P. ("NLV Associates III") is the sole general partner of NLV III. NLV Management III is the sole general partner of NLV Associates III. NLVP is the investment adviser of NLV III.Each of NLV Associates and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Each of the Members may be deemed to have shared voting and dispositive power of these securities. Continued in Footnote 5

F5 · ownership.nature: Continued from Footnote 4: Each of the Members disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 of any other purpose, except to the extent of their respective pecuniary interests therein.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.