SEC Form 4 · accession 0001567619-18-003534

Gritstone Oncology, Inc. · GRTS

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

Reporting owner

Director · 10% Owner

Period of report

Sep 28, 2018

Accepted (ET)

Oct 2, 2018 · 5:23 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001656634

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	Sep 28, 2018	P	333,333	$15.00	A	333,333	I	See Footnote
Common Stock^F2,F3,F1	Oct 2, 2018	C	2,234,112	—	A	2,567,445	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series A Convertible Preferred Stock^F2	—	Oct 2, 2018	C	1,565,216	D	—	—	Common Stock	1,565,216	0	I
Series B Convertible Preferred Stock^F1,F3	—	Oct 2, 2018	C	668,896	D	—	—	Common Stock	668,896	0	I

F1Consists of the shares held by Clarus Lifesciences III, L.P. ("Clarus"). Clarus Ventures III GP, L.P. ("GPLP"), as the sole general partner of Clarus may be deemed to beneficially own certain of the shares held by Clarus. The GPLP disclaims beneficial ownership of all shares held by Clarus in which the GPLP does not have an actual pecuniary interest. Clarus Ventures III, LLC ("GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held by Clarus. The GPLLC disclaims beneficial ownership of all shares held by Clarus in which it does not have an actual pecuniary interest. The Reporting Person, as an individual managing director of GPLLC disclaims beneficial ownership of all shares held of record by Clarus in which he does not have an actual pecuniary interest.
F2The Series A Convertible Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.
F3The Series B Convertible Preferred Stock automatically converted into shares of Common Stock on a 1:1 basis immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.