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Filing Details

Accession Number:
Form Type:
Zero Holdings:
Publication Time:
2018-04-23 16:45:32
Reporting Period:
Accepted Time:
2018-04-23 16:45:32
SEC Url:
Form 4 Filing
Cik Name Symbol Sector (SIC) IRS No
1718108 Surface Oncology Inc. SURF () 4
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1219855 James M Barrett 1954 Greenspring Drive
Suite 600
Timonium MD 21093
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2018-04-23 3,179,544 $0.00 3,179,544 No 4 C Indirect See Note 2
Common Stock Acquisiton 2018-04-23 133,333 $15.00 3,312,877 No 4 P Indirect See Note 2
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect See Note 2
No 4 P Indirect See Note 2
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series A Preferred Stock Disposition 2018-04-23 6,995,000 $0.00 3,179,544 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
  1. The 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.
  2. The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.