0001209191-21-007550.txt : 20210203 0001209191-21-007550.hdr.sgml : 20210203 20210203200035 ACCESSION NUMBER: 0001209191-21-007550 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210201 FILED AS OF DATE: 20210203 DATE AS OF CHANGE: 20210203 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Goater Jeff CENTRAL INDEX KEY: 0001656435 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38459 FILM NUMBER: 21588244 MAIL ADDRESS: STREET 1: C/O SURFACE ONCOLOGY, INC. STREET 2: 50 HAMPSHIRE STREET, 8TH FLOOR CITY: CAMBRIDGE STATE: MA ZIP: 02139 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Surface Oncology, Inc. CENTRAL INDEX KEY: 0001718108 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 50 HAMPSHIRE STREET, 8TH FLOOR CITY: CAMBRIDGE STATE: MA ZIP: 02139 BUSINESS PHONE: 617-714-4096 MAIL ADDRESS: STREET 1: 50 HAMPSHIRE STREET, 8TH FLOOR CITY: CAMBRIDGE STATE: MA ZIP: 02139 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2021-02-01 0 0001718108 Surface Oncology, Inc. SURF 0001656435 Goater Jeff C/O SURFACE ONCOLOGY, INC. 50 HAMPSHIRE STREET, 8TH FLOOR CAMBRIDGE MA 02139 1 1 0 0 Chief Executive Officer Common Stock 2021-02-01 4 M 0 2500 3.18 A 264500 D Common Stock 2021-02-01 4 S 0 2500 10.687 D 262000 D Stock Option (Right to Buy) 3.18 2021-02-01 4 M 0 2500 0.00 D 2030-02-03 Common Stock 2500 249500 D The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 18, 2020. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.32 to $11.19, inclusive. The reporting person undertakes to provide to Surface Oncology, Inc., any security holder of Surface Oncology, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) to this Form 4. This option shall become exercisable in equal monthly installments over four years following January 21, 2020, so long as the reporting person remains an employee or other service provider of the Company on such dates. /s/ Jessica Fees, as Attorney-in-Fact 2021-02-03