Novartis AG — Director's Dealing 2018

Apr 18, 2018

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: Surface Oncology, Inc. (SURF)
CIK: 0001718108
Period of Report: 2018-04-18

Reporting Person: Novartis Institutes for BioMedical Research, Inc. (10% Owner)
Reporting Person: NOVARTIS AG (10% Owner)

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Series A Preferred Stock	$		Common Stock (2272726)		Direct
Series A-1 Preferred Stock	$		Common Stock (909090)		Direct

Footnotes

F1: The 1,571,429 shares of Series A Preferred Stock held by the Reporting Person will automatically convert upon the closing of the Issuer's initial public offering into the number of shares of the Issuer's Common Stock shown in column 3 without payment or further consideration. The shares have no expiration date.

F2: The shares are held directly by Novartis Institutes for BioMedical Research, Inc. ("NIBRI"). NIBRI is an indirect wholly-owned subsidiary of, and controlled by, Novartis AG.

F3: The 5,214,286 shares of Series A-1 Preferred Stock held by the Reporting Person will automatically convert upon the closing of the Issuer's initial public offering into the number of shares of the Issuer's Common Stock shown in column 3 without payment or further consideration. The shares have no expiration date.