Unity Biotechnology, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 18 rows in 2019. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2019-09-19: Reporting owner Goeltz II Robert C.; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2019-09-19: Reporting owner Leonard Keith R; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2019-09-19: Reporting owner David Nathaniel E; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2019-09-19: 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).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2019-09-19 | 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) | +28,814 28,814 owned after | $3.43 exercise price | 2019-09-23 | |
| 2019-09-19 | Leonard Keith R Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,525 35,525 owned after | $3.43 exercise price | 2019-09-23 | |
| 2019-09-19 | 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) | +27,825 27,825 owned after | $3.43 exercise price | 2019-09-23 | |
| 2019-09-19 | Tompkins Tamara Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +19,068 19,068 owned after | $3.40 exercise price | 2019-09-23 | |
| 2019-06-20 | Burow Kristina Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $9.00 exercise price | 2019-06-24 | |
| 2019-06-20 | 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) | +25,000 25,000 owned after | $9.00 exercise price | 2019-06-24 | |
| 2019-06-20 | Tompkins Tamara Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +106,800 106,800 owned after | $9.00 exercise price | 2019-06-24 | |
| 2019-06-20 | 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) | +106,800 106,800 owned after | $9.00 exercise price | 2019-06-24 | |
| 2019-06-20 | 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) | +106,800 106,800 owned after | $9.00 exercise price | 2019-06-24 | |
| 2019-06-20 | 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) | +116,850 116,850 owned after | $9.00 exercise price | 2019-06-24 | |
| 2019-06-20 | 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) | +106,800 106,800 owned after | $9.00 exercise price | 2019-06-24 | |
| 2019-06-20 | 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) | +260,000 260,000 owned after | $9.00 exercise price | 2019-06-24 | |
| 2019-06-20 | Samuels Camille D Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $9.00 exercise price | 2019-06-24 | |
| 2019-06-20 | Roberts Margo R Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $9.00 exercise price | 2019-06-24 | |
| 2019-06-20 | Lacey David L. Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $9.00 exercise price | 2019-06-24 | |
| 2019-06-20 | COOPER GRAHAM K Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $9.00 exercise price | 2019-06-24 | |
| 2019-06-20 | BERNS PAUL L Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $9.00 exercise price | 2019-06-24 | |
| 2019-06-19 | Leonard Keith R Director, Officer (Chief Executive Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −20,000 1,364,100 owned after | $3.40 exercise price | 2019-06-19 |