Unity Biotechnology, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 21 rows in 2020. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2020-12-14: Reporting owner O'Neill Gilmore Neil; Form 3; Security Stock Option (Right to Buy); Transaction Holding.
- 2020-12-14: Reporting owner O'Neill Gilmore Neil; Form 3; Security Stock Option (Right to Buy); Transaction Holding.
- 2020-12-10: Reporting owner O'Neill Gilmore Neil; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2020-09-15: Reporting owner Azoy Alexander; Form 3; Security Stock Option (Right to Buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2020-12-14 holding as of filing | O'Neill Gilmore Neil Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $9.14 exercise price | 2020-12-14 | ||
| 2020-12-14 holding as of filing | O'Neill Gilmore Neil Director | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $3.02 exercise price | 2020-12-14 | ||
| 2020-12-10 | O'Neill Gilmore Neil Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $6.12 exercise price | 2020-12-14 | |
| 2020-09-15 holding as of filing | Azoy Alexander Officer (See Remarks) | 3 | Stock Option (Right to Buy) Derivative · Direct | Holding | $6.51 exercise price | 2020-09-15 | ||
| 2020-09-13 | Ghosh Anirvan 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) | +250,000 250,000 owned after | $2.94 exercise price | 2020-09-15 | |
| 2020-08-01 | Sullivan Lynne Marie Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +240,000 240,000 owned after | $9.96 exercise price | 2020-08-04 | |
| 2020-06-18 | 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 | $9.14 exercise price | 2020-06-22 | |
| 2020-06-18 | 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 | $9.14 exercise price | 2020-06-22 | |
| 2020-06-18 | 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 | $9.14 exercise price | 2020-06-22 | |
| 2020-06-18 | NELSEN ROBERT 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 | $9.14 exercise price | 2020-06-22 | |
| 2020-06-18 | 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 | $9.14 exercise price | 2020-06-22 | |
| 2020-06-18 | 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 | $9.14 exercise price | 2020-06-22 | |
| 2020-06-18 | 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 | $9.14 exercise price | 2020-06-22 | |
| 2020-06-18 | Leonard Keith R Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 50,000 owned after | $9.14 exercise price | 2020-06-22 | |
| 2020-03-30 | Ghosh Anirvan 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) | +800,000 800,000 owned after | $5.95 exercise price | 2020-04-01 | |
| 2020-03-30 | 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) | +98,490 98,490 owned after | $5.95 exercise price | 2020-04-01 | |
| 2020-03-30 | 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) | +118,188 118,188 owned after | $5.95 exercise price | 2020-04-01 | |
| 2020-03-30 | 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) | +98,490 98,490 owned after | $5.95 exercise price | 2020-04-01 | |
| 2020-03-30 | 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) | +98,490 98,490 owned after | $5.95 exercise price | 2020-04-01 | |
| 2020-03-30 | 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) | +98,490 98,490 owned after | $5.95 exercise price | 2020-04-01 | |
| 2020-02-24 | 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 | −10,000 110,620 owned after | $3.43 exercise price | 2020-02-26 |