false 0001463361 0001463361 2020-08-28 2020-08-28





Washington, D.C. 20549







Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): August 28, 2020




(Exact name of registrant as specified in its charter)




Delaware   001-38470   26-4726035

(State or other jurisdiction

of incorporation)



File Number)


(IRS Employer

Identification Number)

285 East Grand Ave.

South San Francisco, CA 94080

(Address of principal executive offices, including Zip Code)

Registrant’s telephone number, including area code: (650) 416-1192



Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:


Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)


Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)


Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))


Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:


Title of each class





Name of each exchange

on which registered

Common Stock, par value $0.0001 per share   UBX   The Nasdaq Global Select Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company  

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  




Item 5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

On August 28, 2020, the Board of Directors (the “Board”) of UNITY Biotechnology, Inc., a Delaware corporation (“UNITY” or the “Company”), appointed Lynne Sullivan as the Company’s Chief Financial Officer effective as of September 1, 2020.

The Company will enter into an amendment (the “Amendment”) to that certain Executive Employment Agreement described in the the Company’s Amendment No. 1 on Form 8-K/A filed with the U.S. Securities and Exchange Commission on July 31, 2020, which is incorporated by reference herein. The Executive Employment Agreement was originally entered into in connection with Ms. Sullivan’s appointment as interim Chief Financial Officer. The Amendment will be effective as of September 1, 2020 and will provide Ms. Sullivan with certain severance rights and rights upon the occurrence of a change of control of the Company commendsurate with the severance and change of control rights held by certain of the Company’s other senior executive officers, the terms of which are described in the Company’s proxy statement filed with the Securities and Exchange Commission on April 24, 2020.

The foregoing summary of the material terms of the Amendment is qualified in its entirety by reference to the Amendment, which will be filed as an exhibit to the Company’s Quarterly Report on Form 10-Q for the three months ended September 30, 2020 and is incorporated by reference herein.


Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.




Date: August 31, 2020     By:  

/s/ Anirvan Ghosh

      Anirvan Ghosh, Ph.D.
      Chief Executive Officer