Filing Details

Accession Number:
0001104659-20-138022
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2020-12-21 15:35:42
Reporting Period:
2020-12-17
Accepted Time:
2020-12-21 15:35:42
Original Submission Date:
2020-12-21
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1718108 Surface Oncology Inc. SURF Biological Products, (No Disgnostic Substances) (2836) 000000000
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1732786 S. David Grayzel C/O Surface Oncology, Inc.
50 Hampshire Street
Cambridge MA 02139
Yes No No 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 Disposition 2020-12-17 1,700,000 $8.10 2,945,453 No 4 S Indirect See Footnote #
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See Footnote #
Footnotes
  1. Represents shares sold by Atlas Venture Fund IX, L.P. ("Atlas IX"). Atlas Venture Associates IX, L.P. ("AVA IX LP") is the general partner of Atlas IX. Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. The Reporting Persons owns an interest in AVA IX LP and disclaims Section 16 beneficial ownership of the securities held by Atlas IX, except to the extent of his pecuniary interest therein, if any. This report shall not be deemed to an admission that Mr. Grayzel is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
  2. The high, low and average for the shares sold were all $8.10. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (2) of this Form 4.
  3. These shares are held directly by Atlas IX. The sole general partner of Atlas IX is AVA IX LP. AVA IX LLC is the sole general partner of AVA IX LP. The Reporting Persons owns an interest in AVA IX LP and disclaims Section 16 beneficial ownership of the securities held by Atlas IX, except to the extent of his pecuniary interest therein, if any. This report shall not be deemed to an admission that Mr. Grayzel is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
  4. This Amendment to the Form 4 filed by the Reporting Person on December 21, 2020 is filed to amend the share price in Table I from $18.10 to $8.10.