SEC Form 4 · accession 0001209191-18-025825

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 · 4:18 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	3,181,817	—	A	4,545,453	I	See Footnote
Common Stock^F2	Apr 23, 2018	P	100,000	$15.00	A	4,645,453	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	7,000,000	D	—	—	Common Stock	3,181,817	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 directly by Atlas Venture Fund IX, L.P. ("Atlas Venture Fund IX"). The general partner of Atlas Venture Fund IX is Atlas Venture Associates IX, L.P. ("AVA IX LP"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. The Reporting Person owns an interest in AVA IX LP and disclaims beneficial ownership of the securities held by Atlas Venture Fund IX, except to the extent of his pecuniary interest therein, if any.