Statement of Changes in Beneficial Ownership (4)
June 28 2021 - 5:29PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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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1. Name and Address of Reporting Person
*
Nguyen Alexander Hieu |
2. Issuer Name and Ticker or Trading Symbol
Unity Biotechnology, Inc.
[
UBX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) See Remarks |
(Last)
(First)
(Middle)
C/O UNITY BIOTECHNOLOGY, INC., 285 EAST GRAND AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/24/2021 |
(Street)
SOUTH SAN FRANCISCO, CA 94080
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, $0.0001 par value | 6/24/2021 | | A | | 5208 (1) | A | $0.00 | 5208 (2) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 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 of Derivative Security: 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) | $4.18 | 6/24/2021 | | A | | 20833 | | (3) | 6/23/2031 | Common Stock | 20833 | $0.00 | 20833 | D | |
Explanation of Responses: |
(1) | Represents Restricted Stock Units ("RSUs") which vest in equal annual installments over a three year period measured from June 24, 2021. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer. |
(2) | Includes RSUs which vest over time measured from the grant date. |
(3) | Shares subject to the stock option vest and become exercisable in successive, equal monthly installments over a 48-month period commencing on June 24, 2021 (the "Vesting Commencement Date"), so that 100% of the shares become fully vested and exercisable on the fourth anniversary of the Vesting Commencement Date, subject to Reporting Person's continued employment or service relationship with the Issuer on each such vesting date. |
Remarks: General Counsel and Corporate Secretary |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Nguyen Alexander Hieu C/O UNITY BIOTECHNOLOGY, INC. 285 EAST GRAND AVENUE SOUTH SAN FRANCISCO, CA 94080 |
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| See Remarks |
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Signatures
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/s/ Alexander Hieu Nguyen | | 6/28/2021 |
**Signature of Reporting Person | Date |
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