SEC Form 4 · accession 0000899243-19-000741
Surface Oncology, Inc. · SURF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert W. Ross
Officer — Chief Medical Officer
Period of report
Jan 4, 2019
Accepted (ET)
Jan 8, 2019 · 4:05 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001718108
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 4, 2019 | M | 25,000 | $4.136 | A | 25,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1 | $4.136 | Jan 4, 2019 | M | 25,000 | D | — | Dec 9, 2026 | Common Stock | 25,000 | 256,578 | D |
Explanation of responses
- F1The stock option vested and became exercisable with respect to the first 25% of the option grant on November 7, 2017, and the remainder vests and becomes exercisable in 36 equal monthly installments thereafter until November 7, 2020.