SEC Form 3 · accession 0001209191-18-025392
Surface Oncology, Inc. · SURF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Scott C Chappel
Officer — Chief Technology Officer
Period of report
Apr 18, 2018
Accepted (ET)
Apr 18, 2018 · 5:00 pm EDT
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 | holding | — | — | — | 162,566 | 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 | $0.36 | holding | — | — | — | — | Mar 17, 2025 | Common Stock | 53,605 | — | D |
| Stock Option (Right to Buy)F2 | $3.99 | holding | — | — | — | — | Mar 3, 2026 | Common Stock | 54,042 | — | D |
| Stock Option (Right to Buy)F3 | $5.42 | holding | — | — | — | — | Jun 27, 2027 | Common Stock | 54,544 | — | D |
| Stock Option (Right to Buy)F4 | $12.90 | holding | — | — | — | — | Mar 2, 2028 | Common Stock | 47,272 | — | D |
Explanation of responses
- F1The stock option vested and became exercisable with respect to the first 25% of the option grant on September 1, 2015, and the remainder vests and becomes exercisable in 36 equal monthly installments thereafter until September 1, 2018.
- F2The stock option vests and becomes exercisable in 48 equal monthly installments after February 1, 2016.
- F3The stock option vests and becomes exercisable in 48 equal monthly installments after July 1, 2017.
- F4The stock option vests and becomes exercisable in 48 equal monthly installments after March 1, 2018.
Remarks
Exhibit 24.1 Limited Power of Attorney