Sec Form 4 Filing - Leonard Keith R @ Unity Biotechnology, Inc. - 2018-05-07

Insider filing report for Changes in Beneficial Ownership
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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
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
Leonard Keith R
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
X __ Officer (give title below) _____ Other (specify below)
Chief Executive Officer
(Last) (First) (Middle)
C/O UNITY BIOTECHNOLOGY, INC., 3280 BAYSHORE BOULEVARD
3. Date of Earliest Transaction (MM/DD/YY)
05/07/2018
(Street)
BRISBANE, CA94005
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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)
Code V Amount (A) or (D) Price
Common Stock 05/07/2018 C 383,475 A 383,475 I See Footnote ( 2 )
Common Stock 05/07/2018 C 148,448 A 148,448 I See Footnote ( 3 )
Common Stock 05/07/2018 C 1,630 A 150,782 D
Common Stock 152,542 I See Footnote ( 4 )
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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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
Series B Preferred Stock ( 1 ) 05/07/2018 C 383,475 ( 1 ) ( 5 ) Common Stock 383,475 ( 1 ) 0 I See Footnote ( 2 )
Series B Preferred Stock ( 1 ) 05/07/2018 C 148,448 ( 1 ) ( 5 ) Common Stock 148,448 ( 1 ) 0 I See Footnote ( 3 )
Series C Preferred Stock ( 1 ) 05/07/2018 C 1,630 ( 1 ) ( 5 ) Common Stock 1,630 ( 1 ) 0 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Leonard Keith R
C/O UNITY BIOTECHNOLOGY, INC.
3280 BAYSHORE BOULEVARD
BRISBANE, CA94005
X Chief Executive Officer
Signatures
/s/ Tamara L. Tompkins, Attorney-in-Fact for Keith R. Leonard 05/07/2018
Signature of Reporting Person Date
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 shares are directly held by Andalucia Ventures LLC, a limited liability company in which the Reporting Person holds a controlling interest.
( 3 )The shares are directly held by Pathfinder Investment Fund, LLC, a limited liability company in which the Reporting Person holds a controlling interest.
( 4 )The shares are directly held by Keith Richard Leonard, Jr. 2017 Retained Annuity Trust.
( 5 )The expiration date is not relevant to the conversion of these securities.

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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