Filing Details
- Accession Number:
- 0001209191-21-040078
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2021-06-11 20:30:12
- Reporting Period:
- 2021-06-10
- Accepted Time:
- 2021-06-11 20:30:12
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1718108 | Surface Oncology Inc. | SURF | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1656435 | Jeff Goater | C/O Surface Oncology, Inc. 50 Hampshire Street, 8Th Floor 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 | Acquisiton | 2021-06-10 | 200,000 | $4.14 | 462,000 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2021-06-10 | 34,727 | $4.14 | 496,727 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-06-10 | 234,727 | $7.66 | 262,000 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2021-06-11 | 10,273 | $4.14 | 272,273 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2021-06-11 | 15,273 | $7.61 | 257,000 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2021-06-10 | 200,000 | $0.00 | 200,000 | $4.14 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2021-06-10 | 34,727 | $0.00 | 34,727 | $4.14 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2021-06-11 | 10,273 | $0.00 | 10,273 | $4.14 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 104,104 | 2027-03-02 | No | 4 | M | Direct | |
| 10,325 | 2027-03-02 | No | 4 | M | Direct | |
| 93,831 | 2027-03-02 | No | 4 | M | Direct |
Footnotes
- The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $7.56 to $7.82. 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 such range.
- The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $7.58 to $7.64. 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 such range.
- The stock option is fully vested and exercisable as of the date hereof.
- The stock option vests and becomes exercisable in 48 equal monthly installments after the closing of the Issuer's initial public offering.
Billionaire Hedge Funds
