SEC FORM 4 SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Leonard Keith R

(Last) (First) (Middle)
C/O UNITY BIOTECHNOLOGY, INC.
3280 BAYSHORE BOULEVARD

(Street)
BRISBANE CA 94005

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Unity Biotechnology, Inc. [ UBX ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Executive Officer
3. Date of Earliest Transaction (Month/Day/Year)
09/19/2019
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, $0.0001 par value 210,782(1) D
Common Stock, $0.0001 par value 383,475 I See Footnote(2)
Common Stock, $0.0001 par value 148,448 I See Footnote(3)
Common Stock, $0.0001 par value 152,542 I See Footnote(4)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy) $3.43 09/19/2019 A 35,525(5) 09/19/2019 01/28/2028 Common Stock 35,525 $0.00 35,525 D
Explanation of Responses:
1. Includes Restricted Stock Units which vest over time measured from the grant date.
2. The shares are directly held by Andalucia Ventures LLC, a limited liability company in which the Reporting Person holds a controlling interest.
3. The shares are directly held by Pathfinder Investment Fund, LLC, a limited liability company in which the Reporting Person holds a controlling interest.
4. The shares are directly held by Keith Richard Leonard, Jr. 2017 Retained Annuity Trust.
5. On January 29, 2018, Reporting Person was granted an option exercisable for 142,102 shares. Twenty-five percent (25%) of the shares was subject to vesting pursuant to the achievement of a clinical development milestone; in this case proof of concept that treatment with a senolytic drug meaningfully ameliorates a human disease. On September 19, 2019, Issuer's Board of Directors determined that such milestone was achieved.
Remarks:
/s/ Tamara L. Tompkins, Attorney-in-Fact for Keith R. Leonard 09/23/2019
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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