SEC Form 4 · accession 0001140361-18-022047
Unity Biotechnology, Inc. · UBX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Nathaniel E David
Officer — President · Director
Period of report
May 7, 2018
Accepted (ET)
May 7, 2018 · 6:23 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 StockF1 | May 7, 2018 | C | 1,074,032 | — | A | 2,054,878 | D | |
| Common StockF1 | May 7, 2018 | C | 222,148 | — | A | 2,277,026 | D | |
| Common StockF1 | May 7, 2018 | C | 1,630 | — | A | 2,278,656 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A-2 Preferred StockF1,F2 | — | May 7, 2018 | C | 1,074,032 | D | — | — | Common Stock | 1,074,032 | 0 | D |
| Series B Preferred StockF1,F2 | — | May 7, 2018 | C | 222,148 | D | — | — | Common Stock | 222,148 | 0 | D |
| Series C Preferred StockF1,F2 | — | May 7, 2018 | C | 1,630 | D | — | — | Common Stock | 1,630 | 0 | D |
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.