Sec Form 4 Filing - Atlas Venture Fund IX, L.P. @ Surface Oncology, Inc. - 2018-04-23

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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
Atlas Venture Fund IX, L.P.
2. Issuer Name and Ticker or Trading Symbol
Surface Oncology, Inc. [ SURF]
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)
25 FIRST STREET, SUITE 303
3. Date of Earliest Transaction (MM/DD/YY)
04/23/2018
(Street)
CAMBRIDGE, MA02141
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 04/23/2018 C 3,181,817 A 4,545,453 D ( 2 )
Common Stock 04/23/2018 P 100,000 A $ 15 4,645,453 D ( 2 )
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 A Preferred Stock ( 1 ) 04/23/2018 C 7,000,000 ( 1 ) ( 1 ) Common Stock 3,181,817 ( 1 ) ( 1 ) 0 D ( 2 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Atlas Venture Fund IX, L.P.
25 FIRST STREET, SUITE 303
CAMBRIDGE, MA02141
X
Atlas Venture Associates IX, L.P.
25 FIRST STREET, SUITE 303
CAMBRIDGE, MA02141
X
Atlas Venture Associates IX, LLC
25 FIRST STREET, SUITE 303
CAMBRIDGE, MA02141
X
Signatures
Atlas Venture Fund IX, LP, By: Atlas VentureAssociates IX, LP, its general partner, By: Atlas VentureAssociates IX, LLC, its general partner, By: FrankCastellucci, General Counsel /s/ Frank Castellucci 04/23/2018
Signature of Reporting Person Date
Atlas Venture Associates IX, LP, By: Atlas Venture Associates IX, LLC, its general partner, By: Frank Castellucci, General Counsel /s/ Frank Castellucci 04/23/2018
Signature of Reporting Person Date
Atlas Venture Associates IX, LLC, By:Frank Castellucci, Generl Counsel /s/ Frank Castellucci 04/23/2018
Signature of Reporting Person Date
Explanation of Responses:
( 1 )The Series A Preferred Stock automatically converted into the Issuer's common stock on a 2.2-for-1 basis at the closing of the Issuer's initial publicoffering without payment or further consideration and had no expiration date.
( 2 )The shares are held directly by Atlas Venture Fund IX, L.P. ("Atlas Venture Fund IX"). The general partner of Atlas Venture Fund IX is AtlasVenture Associates IX, L.P. ("AVA IX LP"). Atlas Venture Associates IX, LLC ("AVA IX LLC") is the general partner of AVA IX LP. Each of AVAIX LP and AVA IX LLC disclaims Section 16 beneficial ownership of the securities held by Atlas Venture Fund IX, except to the extent of itspecuniary interest therein, if any.

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