Unity Biotechnology, Inc. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 15 rows in 2021. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2021-06-24: Reporting owner Nguyen Alexander Hieu; Form 4; Security Stock Option (Right to Buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2021-06-24: 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).
- 2021-06-24: 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).
- 2021-06-24: 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).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2021-06-24 | Nguyen Alexander Hieu Officer (See Remarks) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,833 20,833 owned after | $4.18 exercise price | 2021-06-28 | |
| 2021-06-24 | 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) | +13,425 13,425 owned after | $4.18 exercise price | 2021-06-28 | |
| 2021-06-24 | 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 | $4.18 exercise price | 2021-06-28 | |
| 2021-06-24 | David Nathaniel E Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +11,918 11,918 owned after | $4.18 exercise price | 2021-06-28 | |
| 2021-06-24 | 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 | $4.18 exercise price | 2021-06-28 | |
| 2021-06-24 | 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 | $4.18 exercise price | 2021-06-28 | |
| 2021-06-24 | Sullivan Lynne Marie Officer (CFO & Head of Corp. Dev.) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +123,333 123,333 owned after | $4.18 exercise price | 2021-06-28 | |
| 2021-06-24 | Leonard Keith 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 | $4.18 exercise price | 2021-06-28 | |
| 2021-06-24 | 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) | +100,000 100,000 owned after | $4.18 exercise price | 2021-06-28 | |
| 2021-06-24 | 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) | +290,000 290,000 owned after | $4.18 exercise price | 2021-06-28 | |
| 2021-06-24 | 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 | $4.18 exercise price | 2021-06-28 | |
| 2021-06-24 | 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 | $4.18 exercise price | 2021-06-28 | |
| 2021-03-09 | Nguyen Alexander Hieu Officer (See Remarks) | 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 | $6.69 exercise price | 2021-03-11 | |
| 2021-01-29 | David Nathaniel E 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 | $5.98 exercise price | 2021-02-02 | |
| 2021-01-29 | 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) | +150,000 150,000 owned after | $5.98 exercise price | 2021-02-02 |