Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of Earliest Event Reported): October 7, 2019


(Exact name of registrant as specified in its charter)


Delaware   001-38459   46-5543980
(State or other jurisdiction of
  (Commission File Number)   (I.R.S. Employer
Identification No.)


50 Hampshire Street, 8th Floor
Cambridge, MA
(Address of principal executive offices)   (Zip Code)

Registrant’s telephone number, including area code: (617) 714-4096

Not Applicable

Former name or former address, if changed since last report

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:


Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)


Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)


Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))


Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:


Title of each class


Trading Symbol(s)


Name of each exchange on which

Common stock, $0.0001 par value per share    SURF    Nasdaq Global Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☒

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☒



Item 7.01.

Regulation FD Disclosure.

On October 7, 2019, Surface Oncology, Inc. issued a press release titled “Surface Oncology to Host Analyst and Investor Day on November 18, 2019 in New York City.” A copy of the press release is furnished as Exhibit 99.1 to this Current Report on Form 8-K.

The information in this Item 7.01 and Exhibit 99.1 attached hereto are intended to be furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934 (the “Exchange Act”) or otherwise subject to the liabilities of that section, nor shall they be deemed incorporated by reference in any filing under the Securities Act of 1933 or the Exchange Act, except as expressly set forth by specific reference in such filing.


Item 9.01.

Financial Statements and Exhibits.

(d) Exhibits



Press Release of Surface Oncology, Inc. dated October 7, 2019





Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


Date: October 7, 2019     By:   /s/ J. Jeffrey Goater

J. Jeffrey Goater

President and Chief Executive Officer





Exhibit 99.1

Surface Oncology to Host Analyst and Investor Day on November 18, 2019 in New York City



Keynote speaker: E. John Wherry, Ph.D., director, Penn Institute for Immunology, University of Pennsylvania, and Co-Director of the Parker Institute for Cancer Immunotherapy at Penn



Presentations from Surface management to include strategic updates on current programs and introduction of preclinical pipeline asset SRF813 (targeting CD112R)

CAMBRIDGE, Mass., October 7, 2019 — Surface Oncology (Nasdaq: SURF), a clinical-stage immuno-oncology company developing next-generation immunotherapies that target the tumor microenvironment, today announced that the company will host its inaugural Analyst and Investor Day on Monday, November 18, 2019, at the Nasdaq Marketsite, 4 Times Square, 10th Floor, New York, NY.

Formal presentations will take place from 8:00 a.m-11:00 a.m. ET, followed by questions and answers from the full panel of presenters. Presentations will cover a variety of topics, including:



Corporate overview and strategic update: Jeff Goater, chief executive officer of Surface Oncology



Keynote presentation by Dr. E. John Wherry: Emerging trends in T cell exhaustion and immunotherapy of cancer



Overview and update of SRF617, a novel, potential best-in-class anti-CD39 antibody: Robert Ross, M.D., chief medical officer of Surface Oncology



CD39 is an enzyme critical to both the production of immunosuppressive adenosine and the breakdown of pro-inflammatory adenosine triphosphate (ATP).



Overview and update of SRF388, a first-in-class antibody targeting IL-27: Vito Palombella, Ph.D., chief scientific officer of Surface Oncology



IL-27 is an immunosuppressive cytokine involved in resolving T cell mediated inflammation. Elevated levels of IL-27 and IL-27 induced gene expression signatures have been identified in certain types of cancer.



Introduction to Surface’s first natural killer (NK) cell targeting program, SRF813, a highly differentiated approach to targeting CD112R: Pamela Holland, Ph.D., vice president of biology at Surface Oncology



CD112R is a recently identified immune checkpoint protein that contributes to both T cell and NK cell suppression through its role as an inhibitory receptor. Blockade of CD112R promotes antitumor responses through innate and adaptive arms of the immune system.

A live webcast of the Analyst and Investor Day will be available on the Surface Oncology website at https://investors.surfaceoncology.com/news-events/events.

About Dr. John Wherry:

E. John Wherry, Ph.D., is the Richard and Barbara Schiffrin President’s Distinguished Professor, chair of the Department of Systems Pharmacology and Translational Therapeutics, and director of the Penn Institute for Immunology at the Perelman School of Medicine at the University of Pennsylvania. He is the co-director of the Parker Institute for Cancer Immunotherapy at Penn, as well as a member of the Scientific Advisory Board of Surface Oncology. His research has focused on T cell exhaustion in chronic viral infections and cancer. His work has defined the developmental biology and molecular regulation of

T cell exhaustion, role of checkpoints including PD-1, LAG-3 and others and significantly informed the development of immunotherapies for human cancer.

About Surface Oncology:

Surface Oncology is an immuno-oncology company developing next-generation antibody therapies focused on the tumor microenvironment with lead programs targeting CD73, CD39, IL-27 and CD47. Surface’s novel cancer immunotherapies are designed to achieve a clinically meaningful and sustained anti-tumor response and may be used alone or in combination with other therapies. The Company has a pipeline of seven novel immunotherapies and a strategic collaboration with Novartis focused on NZV930 (CD73) and potentially one additional undisclosed program. For more information, please visit www.surfaceoncology.com.


Seth Lewis



Ten Bridge Communications

Krystle Gibbs