Sec Form 4 Filing - Venrock Healthcare Capital Partners III, L.P. @ Unum Therapeutics Inc. - 2020-08-14

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 *
Venrock Healthcare Capital Partners III, L.P.
2. Issuer Name and Ticker or Trading Symbol
Unum Therapeutics Inc. [ UMRX]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last)
(First)
(Middle)
C/O VENROCK, 7 BRYANT PARK, 23RD FLOOR
3. Date of Earliest Transaction (MM/DD/YY)
08/14/2020
(Street)
NEW YORK, NY10018
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ 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 08/14/2020 P 100,000 ( 1 ) A $ 2.3 4,004,273 I By funds ( 2 ) ( 3 )
Common Stock 08/17/2020 P 250,000 ( 4 ) A $ 2.57 4,254,273 I By funds ( 3 ) ( 5 )
Common Stock 08/18/2020 P 101,000 ( 6 ) A $ 2.62 4,355,273 I By funds ( 3 ) ( 7 )
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
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Venrock Healthcare Capital Partners III, L.P.
C/O VENROCK
7 BRYANT PARK, 23RD FLOOR
NEW YORK, NY10018
X
Venrock Healthcare Capital Partners II, L.P.
C/O VENROCK
7 BRYANT PARK, 23RD FLOOR
NEW YORK, NY10018
X
VHCP Co-Investment Holdings II, LLC
C/O VENROCK
7 BRYANT PARK, 23RD FLOOR
NEW YORK, NY10018
X
VHCP Co-Investment Holdings III, LLC
C/O VENROCK
7 BRYANT PARK, 23RD FLOOR
NEW YORK, NY10018
X
VHCP Management II, LLC
C/O VENROCK
7 BRYANT PARK, 23RD FLOOR
NEW YORK, NY10018
X
VHCP Management III, LLC
C/O VENROCK
7 BRYANT PARK, 23RD FLOOR
NEW YORK, NY10018
X
Koh Bong Y
C/O VENROCK
7 BRYANT PARK, 23RD FLOOR
NEW YORK, NY10018
X
Shah Nimish P
C/O VENROCK
7 BRYANT PARK, 23RD FLOOR
NEW YORK, NY10018
X
Signatures
/s/ David L. Stepp, Authorized Signatory 08/18/2020
** Signature of Reporting Person Date
David L. Stepp, Authorized Signatory 08/18/2020
** Signature of Reporting Person Date
David L. Stepp, Authorized Signatory 08/18/2020
** Signature of Reporting Person Date
David L. Stepp, Authorized Signatory 08/18/2020
** Signature of Reporting Person Date
David L. Stepp, Authorized Signatory 08/18/2020
** Signature of Reporting Person Date
David L. Stepp, Authorized Signatory 08/18/2020
** Signature of Reporting Person Date
David L. Stepp, Attorney-in-fact 08/18/2020
** Signature of Reporting Person Date
David L. Stepp, Attorney-in-fact 08/18/2020
** Signature of Reporting Person Date
Explanation of Responses:
( 1 )Consists of (i) 26,430 shares purchased by Venrock Healthcare Capital Partners II, LP; (ii) 10,710 shares purchased by VHCP Co-Investment Holdings II, LLC; (iii) 57,150 shares purchased by Venrock Healthcare Capital Partners III, LP; and (iv) 5,710 shares purchased by VHCP Co-Investment Holdings III, LLC.
( 2 )Consists of (i) 1,058,331 shares owned by Venrock Healthcare Capital Partners II, LP; (ii) 428,853 shares owned by VHCP Co-Investment Holdings II, LLC; (iii) 2,288,445 shares owned by Venrock Healthcare Capital Partners III, LP; and (iv) 228,644 shares owned by VHCP Co-Investment Holdings III, LLC.
( 3 )VHCP Management II, LLC ("VHCPM2") is the general partner of Venrock Healthcare Capital Associates II, LP and the manager of VHCP Co-Investment Holdings II, LLC. VHCP Management III, LLC ("VHCPM3") is the general partner of Venrock Healthcare Capital Partners III, LP and the manager of VHCP Co-Investment Holdings III, LLC. Bong Koh and Nimish Shah are the voting members of VHCPM2 and VHCPM3. Each of VHCPM2, VHCPM3, Bong Koh and Nimish Shah (together, the "Managers") may be deemed to beneficially own these shares, but each of the Managers expressly disclaims beneficial ownership over these shares except to the extent of their respective pecuniary interests therein.
( 4 )Consists of (i) 66,075 shares purchased by Venrock Healthcare Capital Partners II, LP; (ii) 26,775 shares purchased by VHCP Co-Investment Holdings II, LLC; (iii) 142,875 shares purchased by Venrock Healthcare Capital Partners III, LP; and (iv) 14,275 shares purchased by VHCP Co-Investment Holdings III, LLC.
( 5 )Consists of (i) 1,124,406 shares owned by Venrock Healthcare Capital Partners II, LP; (ii) 455,628 shares owned by VHCP Co-Investment Holdings II, LLC; (iii) 2,431,320 shares owned by Venrock Healthcare Capital Partners III, LP; and (iv) 242,919 shares owned by VHCP Co-Investment Holdings III, LLC.
( 6 )Consists of (i) 26,694 shares purchased by Venrock Healthcare Capital Partners II, LP; (ii) 10,817 shares purchased by VHCP Co-Investment Holdings II, LLC; (iii) 57,722 shares purchased by Venrock Healthcare Capital Partners III, LP; and (iv) 5,767 shares purchased by VHCP Co-Investment Holdings III, LLC.
( 7 )Consists of (i) 1,151,100 shares owned by Venrock Healthcare Capital Partners II, LP; (ii) 466,445 shares owned by VHCP Co-Investment Holdings II, LLC; (iii) 2,489,042 shares owned by Venrock Healthcare Capital Partners III, LP; and (iv) 248,686 shares owned by VHCP Co-Investment Holdings III, LLC.

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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