0001209191-18-022971.txt : 20180403 0001209191-18-022971.hdr.sgml : 20180403 20180403163027 ACCESSION NUMBER: 0001209191-18-022971 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180403 FILED AS OF DATE: 20180403 DATE AS OF CHANGE: 20180403 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ratcliffe Liam CENTRAL INDEX KEY: 0001547100 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38443 FILM NUMBER: 18733829 MAIL ADDRESS: STREET 1: C/O NEW LEAF VENTURE PARTNERS STREET 2: 7 TIMES SQUARE - SUITE 3502 CITY: NEW YORK STATE: NY ZIP: 10036 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Unum Therapeutics Inc. CENTRAL INDEX KEY: 0001622229 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 465308248 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 200 CAMBRIDGE PARK DRIVE STREET 2: SUITE 3100 CITY: CAMBRIDGE STATE: MA ZIP: 02140 BUSINESS PHONE: 617-945-5576 MAIL ADDRESS: STREET 1: 200 CAMBRIDGE PARK DRIVE STREET 2: SUITE 3100 CITY: CAMBRIDGE STATE: MA ZIP: 02140 FORMER COMPANY: FORMER CONFORMED NAME: Unum Therapeutics, Inc. DATE OF NAME CHANGE: 20141014 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2018-04-03 0 0001622229 Unum Therapeutics Inc. UMRX 0001547100 Ratcliffe Liam C/O UNUM THERAPEUTICS INC. 200 CAMBRIDGE PARK DRIVE, SUITE 3100 CAMBRIDGE MA 02140 1 0 0 0 Common Stock 2018-04-03 4 C 0 622772 A 622772 I See Footnote Common Stock 2018-04-03 4 C 0 622773 A 622773 I See Footnote Common Stock 2018-04-03 4 P 0 275000 12.00 A 897772 I See Footnote Common Stock 2018-04-03 4 P 0 275000 12.00 A 897773 I See Footnote Series B Preferred Stock 2018-04-03 4 C 0 977835 D Common Stock 622772 0 I See Footnote Series B Preferred Stock 2018-04-03 4 C 0 977836 D Common Stock 622773 0 I See Footnote Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares have no expiration date. The shares are held directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. New Leaf Venture Management III, L.L.C. ("NLV Management III") is the sole general partner of NLBA I. New Leaf Venture Partners, L.L.C. ("NLVP") is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Each of the Reporting Person, Ronald M. Hunt and Vijay K. Lathi (each a "Member" and collectively, the "Members") is a member of NLV Management III and may be deemed to have shared voting and dispositive power of these securities. Continued in Footnote 3 Continued from Footnote 2: Each of the Members disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 of any other purpose, except to the extent of their respective pecuniary interests therein. The shares are held directly by New Leaf Ventures III, L.P. ("NLV III").New Leaf Venture Associates III, L.P. ("NLV Associates III") is the sole general partner of NLV III. NLV Management III is the sole general partner of NLV Associates III. NLVP is the investment adviser of NLV III.Each of NLV Associates and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Each of the Members may be deemed to have shared voting and dispositive power of these securities. Continued in Footnote 5 Continued from Footnote 4: Each of the Members disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 of any other purpose, except to the extent of their respective pecuniary interests therein. /s/ Amoli Pandya, Attorney-in-Fact 2018-04-03