SEC Form 4 · accession 0001209191-18-025822

Surface Oncology, Inc. · SURF

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

Reporting owner

Director

Period of report

Apr 23, 2018

Accepted (ET)

Apr 23, 2018 · 4:15 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^F1,F2	Apr 23, 2018	C	45,453	—	A	45,453	I	See Footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series A Preferred Stock^F1,F2	—	Apr 23, 2018	C	100,000	D	—	—	Common Stock	45,453	0	I

F1The Series A Preferred Stock automatically converted into the Issuer's common stock on a 2.2-for-1 basis at the closing of the Issuer's initial public offering without payment or further consideration and had no expiration date.
F2The shares are held by Sigal Family Investments, LLC. The Reporting Person may be deemed to have voting and dispositive power with respect to the shares held by Sigal Family Investments, LLC. The Reporting Person disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.