SEC FORM 3

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Goeltz II Robert C.

(Last)

(First)

(Middle)

C/O UNITY BIOTECHNOLOGY, INC.

3280 BAYSHORE BOULEVARD

(Street)

BRISBANE

94005

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
05/02/2018

3. Issuer Name and Ticker or Trading Symbol
Unity Biotechnology, Inc. [ UBX ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Chief Financial Officer

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	94,718	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Stock Option (Right to Buy)	⁽¹⁾	09/26/2027	Common Stock	125,620	$3.43	D
Stock Option (Right to Buy)	⁽²⁾⁽³⁾	09/26/2027	Common Stock	86,440	$3.43	D
Series C Preferred Stock	⁽⁴⁾	⁽⁵⁾	Common Stock	1,630	⁽⁴⁾	D

Explanation of Responses:

1. 25% of the shares subject to the option vests on September 5, 2018, and the remaining shares subject to the option vest in 36 successive, equal monthly installments on each monthly anniversary thereafter, subject to the reporting person's continued employment or service relationship with the Issuer on each such vesting date.

2. 1/3 of the shares underlying the option will be scheduled to vest upon i) the closing of a financing where the Issuer sells shares of its equity securities to institutional investors at a price per share of at least $36.88, ii) a change in control with aggregate proceeds payable to holders of the Issuer's common stock at a price per share of at least $36.88, or iii) the Issuer attains an average trading price after IPO of at least $36.88 as measured by a trailing 30 day volume-weighted average price (VWAP) (continued)

3. 2/3 of the shares underlying the option will vest upon i) the closing of a financing where the Company sells shares of its equity securities to institutional investors with a pre-money valuation of at least $2.5B, ii) a change in control with aggregate proceeds payable to holders of the Company's common stock at a valuation of the Company of at least $2.5B, or iii) the Company attains a market capitalization after IPO of at least $2.5B as measured by a trailing 30 day VWAP, in each case subject to the reporting person's continuing services to the Issuer through each applicable vesting date.

4. The shares of the Issuer's Preferred Stock automatically convert 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.

5. The expiration date is not relevant to the conversion of these securities.

	/s/ Tamara L. Tompkins, Attorney-in-Fact for Robert C. Goeltz II	05/02/2018
	** 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 5 (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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