SEC Filing | Unity Biotechnology

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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^*

Burow Kristina

(Last)

(First)

(Middle)

8755 W. HIGGINS ROAD, SUITE 1025

(Street)

CHICAGO

60631

(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)

X	Director	10% Owner
	Officer (give title below)	Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
05/07/2018

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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	05/07/2018		C		2,030,625	A	⁽¹⁾	2,070,172	I	See Footnote⁽³⁾⁽⁵⁾
Common Stock	05/07/2018		C		4,228,432	A	⁽¹⁾	6,298,604	I	See Footnote⁽³⁾⁽⁵⁾
Common Stock	05/07/2018		C		2,067,160	A	⁽¹⁾	8,365,764	I	See Footnote⁽³⁾⁽⁵⁾
Common Stock	05/07/2018		C		1,486,745	A	⁽¹⁾	1,486,745	I	See Footnote⁽⁴⁾⁽⁵⁾
Common Stock	05/07/2018		C		195,672	A	⁽¹⁾	1,682,417	I	See Footnote⁽⁴⁾⁽⁵⁾
Common Stock								79,096	I	See Footnote⁽⁶⁾
Common Stock								33,898	I	See Footnote⁽⁷⁾

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)
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)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Series A-1 Preferred Stock	⁽¹⁾	05/07/2018		C			2,030,625	⁽¹⁾	⁽²⁾	Common Stock	2,030,625	⁽¹⁾	0	I	See Footnote⁽³⁾⁽⁵⁾
Series A-2 Preferred Stock	⁽¹⁾	05/07/2018		C			4,228,432	⁽¹⁾	⁽²⁾	Common Stock	4,228,432	⁽¹⁾	0	I	See Footnote⁽³⁾⁽⁵⁾
Series B Preferred Stock	⁽¹⁾	05/07/2018		C			2,067,160	⁽¹⁾	⁽²⁾	Common Stock	2,067,160	⁽¹⁾	0	I	See Footnote⁽³⁾⁽⁵⁾
Series B Preferred Stock	⁽¹⁾	05/07/2018		C			1,486,745	⁽¹⁾	⁽²⁾	Common Stock	1,486,745	⁽¹⁾	0	I	See Footnote⁽⁴⁾⁽⁵⁾
Series C Preferred Stock	⁽¹⁾	05/07/2018		C			195,672	⁽¹⁾	⁽²⁾	Common Stock	195,672	⁽¹⁾	0	I	See Footnote⁽⁴⁾⁽⁵⁾

Explanation of Responses:

1. The shares of the Issuer's Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, on a 1:1 basis immediately prior to the consummation of the Issuer's initial public offering.

2. The expiration date is not relevant to the conversion of these securities.

3. The shares are directly held by ARCH Venture Fund VII, L.P. ("ARCH VII"). ARCH Venture Partners VII, L.P. (the "GPLP"), as the sole general partner of ARCH VII, may be deemed to beneficially own certain of the shares held by ARCH VII. ARCH Venture Partners VII, LLC ("GPLLC"), as the sole general partner of GPLP, may be deemed to beneficially own the shares held by GPLP. GPLP and GPLLC disclaim beneficial ownership of such shares except to the extent of any pecuniary interest therein.

4. The shares are directly held by ARCH Venture Fund VIII Overage, L.P. ("ARCH Overage"). ARCH Venture Partners VIII, LLC (the "AVP GPLLC"), as the sole general partner of ARCH Overage, may be deemed to beneficially own the shares held by ARCH Overage. AVP GPLLC disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.

5. The managing directors of GPLLC and AVP GPLLC are Keith Crandell and Clinton Bybee, and they may be deemed to beneficially own the shares held by ARCH Fund VII and ARCH Overage. Messrs. Crandell and Bybee disclaim beneficial ownership of such shares, except to the extent of any pecuniary interest therein. Director Kristina Burow owns an interest in ARCH Partners VII and AVP GPLLC but does not have voting or investment control over the shares held by ARCH Fund VII or ARCH Overage and disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

6. The shares are directly held by Backes & Burow 2012 Revocable Trust, in which the Reporting Person holds a controlling interest.

7. The shares are directly held by the Reporting Person's spouse.

	/s/ Tamara L. Tompkins, Attorney-in-Fact for Robert Nelsen	05/07/2018
	** 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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