Unity Biotechnology, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 22 rows in 2018. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-12-03: Reporting owner Roberts Margo R; Form 4; Security Stock Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2018-10-10: Reporting owner Goeltz II Robert C.; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2018-05-02: Reporting owner Tompkins Tamara; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2018-05-02: Reporting owner NELSEN ROBERT; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-12-03 | Roberts Margo R Director | 4 | Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,661 50,661 owned after | $13.67 exercise price | 2018-12-04 | |
| 2018-10-10 | Goeltz II Robert C. Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 120,620 owned after | $3.43 exercise price | 2018-10-12 | |
| 2018-05-02 | Tompkins Tamara Officer (Corporate Secretary and GC) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,508 30,508 owned after | $17.00 exercise price | 2018-05-04 | |
| 2018-05-02 | NELSEN ROBERT Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,678 40,678 owned after | $17.00 exercise price | 2018-05-04 | |
| 2018-05-02 | Goeltz II Robert C. Officer (Chief Financial Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,508 30,508 owned after | $17.00 exercise price | 2018-05-04 | |
| 2018-05-02 | David Nathaniel E Director, Officer (President) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +47,458 47,458 owned after | $17.00 exercise price | 2018-05-04 | |
| 2018-05-02 | Burow Kristina Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,678 40,678 owned after | $17.00 exercise price | 2018-05-04 | |
| 2018-05-02 | Leonard Keith R Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +67,797 67,797 owned after | $17.00 exercise price | 2018-05-04 | |
| 2018-05-02 | Dananberg Jamie Officer (Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,508 30,508 owned after | $17.00 exercise price | 2018-05-04 | |
| 2018-05-02 | COOPER GRAHAM K Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,169 10,169 owned after | $17.00 exercise price | 2018-05-04 | |
| 2018-05-02 | Marquess Dan Officer (Chief Scientific Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +30,508 30,508 owned after | $17.00 exercise price | 2018-05-04 | |
| 2018-05-02 | Samuels Camille D Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,678 40,678 owned after | $17.00 exercise price | 2018-05-04 | |
| 2018-05-02 holding as of filing | Leonard Keith R Director, Officer (Chief Executive Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $3.40 exercise price | 2018-05-02 | ||
| 2018-05-02 holding as of filing | Leonard Keith R Director, Officer (Chief Executive Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct · (m) | Holding | $3.43 exercise price | 2018-05-02 | ||
| 2018-05-02 holding as of filing | Tompkins Tamara Officer (Corporate Secretary and GC) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $3.40 exercise price | 2018-05-02 | ||
| 2018-05-02 holding as of filing | Tompkins Tamara Officer (Corporate Secretary and GC) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $3.40 exercise price | 2018-05-02 | ||
| 2018-05-02 holding as of filing | Goeltz II Robert C. Officer (Chief Financial Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $3.43 exercise price | 2018-05-02 | ||
| 2018-05-02 holding as of filing | Goeltz II Robert C. Officer (Chief Financial Officer) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $3.43 exercise price | 2018-05-02 | ||
| 2018-05-02 holding as of filing | BERNS PAUL L Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $12.22 exercise price | 2018-05-02 | ||
| 2018-05-02 holding as of filing | David Nathaniel E Director, Officer (President) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $3.43 exercise price | 2018-05-02 | ||
| 2018-05-02 holding as of filing | David Nathaniel E Director, Officer (President) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $3.43 exercise price | 2018-05-02 | ||
| 2018-05-02 holding as of filing | Lacey David L. Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $3.43 exercise price | 2018-05-02 |