SEC Form 4 · accession 0001140361-18-022046

Unity Biotechnology, Inc. · UBX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Kristina Burow

Director

Period of report

May 7, 2018

Accepted (ET)

May 7, 2018 · 6:22 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001463361

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F3,F5	May 7, 2018	C	2,030,625	—	A	2,070,172	I	See Footnote
Common Stock^F1,F3,F5	May 7, 2018	C	4,228,432	—	A	6,298,604	I	See Footnote
Common Stock^F1,F3,F5	May 7, 2018	C	2,067,160	—	A	8,365,764	I	See Footnote
Common Stock^F1,F4,F5	May 7, 2018	C	1,486,745	—	A	1,486,745	I	See Footnote
Common Stock^F1,F4,F5	May 7, 2018	C	195,672	—	A	1,682,417	I	See Footnote
Common Stock^F6	holding	—	—		—	79,096	I	See Footnote
Common Stock^F7	holding	—	—		—	33,898	I	See Footnote

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series A-1 Preferred Stock^F1,F3,F5,F2	—	May 7, 2018	C	2,030,625	D	—	—	Common Stock	2,030,625	I
Series A-2 Preferred Stock^F1,F3,F5,F2	—	May 7, 2018	C	4,228,432	D	—	—	Common Stock	4,228,432	I
Series B Preferred Stock^F1,F3,F5,F2	—	May 7, 2018	C	2,067,160	D	—	—	Common Stock	2,067,160	I
Series B Preferred Stock^F1,F4,F5,F2	—	May 7, 2018	C	1,486,745	D	—	—	Common Stock	1,486,745	I
Series C Preferred Stock^F1,F4,F5,F2	—	May 7, 2018	C	195,672	D	—	—	Common Stock	195,672	I

Explanation of responses

F1The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's initial public offering.
F2The expiration date is not relevant to the conversion of these securities.
F3The shares are directly held by ARCH Venture Fund VII, L.P. ("ARCH VII"). ARCH Venture Partners VII, L.P. (the "GPLP"), as the sole general partner of ARCH VII, may be deemed to beneficially own certain of the shares held by ARCH VII. ARCH Venture Partners VII, LLC ("GPLLC"), as the sole general partner of GPLP, may be deemed to beneficially own the shares held by GPLP. GPLP and GPLLC disclaim beneficial ownership of such shares except to the extent of any pecuniary interest therein.
F4The shares are directly held by ARCH Venture Fund VIII Overage, L.P. ("ARCH Overage"). ARCH Venture Partners VIII, LLC (the "AVP GPLLC"), as the sole general partner of ARCH Overage, may be deemed to beneficially own the shares held by ARCH Overage. AVP GPLLC disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.
F5The managing directors of GPLLC and AVP GPLLC are Keith Crandell and Clinton Bybee, and they may be deemed to beneficially own the shares held by ARCH Fund VII and ARCH Overage. Messrs. Crandell and Bybee disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein. Director Kristina Burow owns an interest in ARCH Partners VII and AVP GPLLC but does not have voting or investment control over the shares held by ARCH Fund VII or ARCH Overage and disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.
F6The shares are directly held by Backes & Burow 2012 Revocable Trust, in which the Reporting Person holds a controlling interest.
F7The shares are directly held by the Reporting Person's spouse.