0001209191-18-025400.txt : 20180418
0001209191-18-025400.hdr.sgml : 20180418
20180418170303
ACCESSION NUMBER: 0001209191-18-025400
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180418
FILED AS OF DATE: 20180418
DATE AS OF CHANGE: 20180418
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: ROSS ROBERT W.
CENTRAL INDEX KEY: 0001733077
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38459
FILM NUMBER: 18761734
MAIL ADDRESS:
STREET 1: C/O SURFACE ONCOLOGY
STREET 2: 50 HAMPSHIRE ST., 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
3
1
doc3.xml
FORM 3 SUBMISSION
X0206
3
2018-04-18
0
0001718108
Surface Oncology, Inc.
SURF
0001733077
ROSS ROBERT W.
C/O SURFACE ONCOLOGY, INC.
50 HAMPSHIRE STREET, 8TH FLOOR
CAMBRIDGE
MA
02139
0
1
0
0
Chief Medical Officer
Stock Option (Right to Buy)
4.14
2026-12-09
Common Stock
281578
D
Stock Option (Right to Buy)
5.42
2027-06-27
Common Stock
11363
D
Stock Option (Right to Buy)
12.90
2028-03-02
Common Stock
45453
D
The stock option vested and became exercisable with respect to the first 25% of the option grant on November 7, 2017, and the remainder vests and becomes exercisable in 36 equal monthly installments thereafter until November 7, 2020.
The stock option vested and became exercisable with respect to the first 4/48ths of the option grant on November 7, 2017, and the remainder vests and becomes exercisable in 44 equal monthly installments beginning December 1, 2017.
The stock option vests and becomes exercisable in 48 equal monthly installments after March 1, 2018.
Exhibit 24.1 Limited Power of Attorney
/s/ Robert W. Ross, M.D.
2018-04-18
EX-24.3_784296
2
poa.txt
POA DOCUMENT
POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby constitutes and
appoints each of J. Jeffrey Goater, Jessica Fees and Robert E. Puopolo, signing
singly, the undersigned's true and lawful attorney-in-fact to:
(1) execute for and on behalf of the undersigned, in the undersigned's capacity
as an officer and/or director of Surface Oncology, Inc. (the "Company"), (i)
Form ID, including any attached documents, to effect the assignment of codes to
the undersigned to be used in the transmission of information to the United
States Securities and Exchange Commission using the EDGAR System, and (ii) Forms
3, 4 and 5 and amendments thereto in accordance with Section 16(a) of the
Securities Exchange Act of 1934, as amended, and the rules thereunder;
(2) do and perform any and all acts for and on behalf of the undersigned which
may be necessary or desirable to complete and execute any such Form 3, 4 or 5
and amendments thereto and timely file such form with the United States
Securities and Exchange Commission and any stock exchange or similar authority;
and
(3) take any other action of any type whatsoever in connection with the
foregoing which, in the opinion of such attorney-in-fact, may be of benefit to,
in the best interest of, or legally required by, the undersigned, it being
understood that the documents executed by such attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as such attorney-in-fact may approve in such
attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact full power
and authority to do and perform any and every act and thing whatsoever
requisite, necessary, or proper to be done in the exercise of any of the rights
and powers herein granted, as fully to all intents and purposes as the
undersigned might or could do if personally present, with full power of
substitution or revocation, hereby ratifying and confirming all that such
attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall
lawfully do or cause to be done by virtue of this Power of Attorney and the
rights and powers herein granted. The undersigned acknowledges that the
foregoing attorneys-in-fact, in serving in such capacity at the request of the
undersigned, are not assuming, nor is the Company assuming, any of the
undersigned's responsibilities to comply with Section 16 of the Securities
Exchange Act of 1934, as amended. The undersigned hereby agrees to indemnify the
attorney-in-fact and the Company from and against any demand, damage, loss, cost
or expense arising from any false or misleading information provided by the
undersigned to the attorney-in-fact.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4 and 5 with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed writing delivered to the
foregoing attorneys-in-fact. This Power of Attorney may be filed with the
United States Securities and Exchange Commission as a confirming statement of
the authority granted herein. This Power of Attorney supersedes any prior power
of attorney in connection with the undersigned's capacity as an officer and/or
director of the Company. This Power of Attorney shall expire as to any
individual attorney-in-fact if such attorney-in-fact ceases to be an executive
officer of, or legal counsel to, the Company.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to
be executed as of April 18, 2018.
/s/ Robert W. Ross
Signature
Robert W. Ross
Print Name