SEC Form 4
FORM 4 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
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Venrock Healthcare Capital Partners III, L.P.

(Last) (First) (Middle)
C/O VENROCK
7 BRYANT PARK, 23RD FLOOR

(Street)
NEW YORK NY 10018

(City) (State) (Zip)
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)
3. Date of Earliest Transaction (Month/Day/Year)
08/14/2020
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 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 (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 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 (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (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: 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
1. Name and Address of Reporting Person*
Venrock Healthcare Capital Partners III, L.P.

(Last) (First) (Middle)
C/O VENROCK
7 BRYANT PARK, 23RD FLOOR

(Street)
NEW YORK NY 10018

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Venrock Healthcare Capital Partners II, L.P.

(Last) (First) (Middle)
C/O VENROCK
7 BRYANT PARK, 23RD FLOOR

(Street)
NEW YORK NY 10018

(City) (State) (Zip)
1. Name and Address of Reporting Person*
VHCP Co-Investment Holdings II, LLC

(Last) (First) (Middle)
C/O VENROCK
7 BRYANT PARK, 23RD FLOOR

(Street)
NEW YORK NY 10018

(City) (State) (Zip)
1. Name and Address of Reporting Person*
VHCP Co-Investment Holdings III, LLC

(Last) (First) (Middle)
C/O VENROCK
7 BRYANT PARK, 23RD FLOOR

(Street)
NEW YORK NY 10018

(City) (State) (Zip)
1. Name and Address of Reporting Person*
VHCP Management II, LLC

(Last) (First) (Middle)
C/O VENROCK
7 BRYANT PARK, 23RD FLOOR

(Street)
NEW YORK NY 10018

(City) (State) (Zip)
1. Name and Address of Reporting Person*
VHCP Management III, LLC

(Last) (First) (Middle)
C/O VENROCK
7 BRYANT PARK, 23RD FLOOR

(Street)
NEW YORK NY 10018

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Koh Bong Y

(Last) (First) (Middle)
C/O VENROCK
7 BRYANT PARK, 23RD FLOOR

(Street)
NEW YORK NY 10018

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Shah Nimish P

(Last) (First) (Middle)
C/O VENROCK
7 BRYANT PARK, 23RD FLOOR

(Street)
NEW YORK NY 10018

(City) (State) (Zip)
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.
Remarks:
/s/ David L. Stepp, Authorized Signatory 08/18/2020
David L. Stepp, Authorized Signatory 08/18/2020
David L. Stepp, Authorized Signatory 08/18/2020
David L. Stepp, Authorized Signatory 08/18/2020
David L. Stepp, Authorized Signatory 08/18/2020
David L. Stepp, Authorized Signatory 08/18/2020
David L. Stepp, Attorney-in-fact 08/18/2020
David L. Stepp, Attorney-in-fact 08/18/2020
** Signature of Reporting Person Date
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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.