# EDGAR Filing Document

**Accession Number:** 0001770121
**File Stem:** 0001562180-23-000268
**Filing Date:** 2023-1
**Character Count:** 8787
**Document Hash:** 48862a1de99859672e32d505421d6550
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001562180-23-000268.hdr.sgml**: 20230106

**ACCESSION NUMBER**: 0001562180-23-000268

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20230105

**FILED AS OF DATE**: 20230106

**DATE AS OF CHANGE**: 20230106

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** NELSEN ROBERT
- **CENTRAL INDEX KEY:** 0001219042

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39941
- **FILM NUMBER:** 23515322

**MAIL ADDRESS:**
- **STREET 1:** 8755 W. HIGGINS ROAD
- **STREET 2:** SUITE 1025
- **CITY:** CHICAGO
- **STATE:** IL
- **ZIP:** 60631
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Sana Biotechnology, Inc.
- **CENTRAL INDEX KEY:** 0001770121
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 188 EAST BLAINE STREET, SUITE 400
- **CITY:** SEATTLE
- **STATE:** WA
- **ZIP:** 98102
- **BUSINESS PHONE:** (206) 701-7914

**MAIL ADDRESS:**
- **STREET 1:** 188 EAST BLAINE STREET, SUITE 400
- **CITY:** SEATTLE
- **STATE:** WA
- **ZIP:** 98102

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

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>NELSEN ROBERT<br><sub>(Last) (First) (Middle)</sub><br>C/O SANA BIOTECHNOLOGY, INC.<br>188 EAST BLAINE STREET, SUITE 400<br><sub>(Street)</sub><br>SEATTLE, WA 98102<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2023-01-05 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [X] 10% Owner<br>[ ] Officer (give title below) [ ] Other (specify below)<br>_ _ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Sana Biotechnology, Inc. [ SANA ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2023-01-05 |  | A |  | 536.00<sup>(1)</sup> | A | $0.00 | 1353.00 | D |  |
| Common Stock |  |  |  |  |  |  |  | 12500.00 | I | See footnote<sup>(2)</sup> |
| Common Stock |  |  |  |  |  |  |  | 10303750.00 | I | See footnotes<sup>(3)(4)(5)</sup> |
| Common Stock |  |  |  |  |  |  |  | 10301250.00 | I | See footnotes<sup>(4)(5)(6)</sup> |
| Common Stock |  |  |  |  |  |  |  | 11718750.00 | I | See footnotes<sup>(5)(7)(8)</sup> |
| Common Stock |  |  |  |  |  |  |  | 11718750.00 | I | See footnotes<sup>(5)(8)(9)</sup> |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |

---

### Footnotes:

(1) Consists of fully vested restricted stock units.

(2) The shares were received by Enzo Family Trust of 2015 in a distribution of shares upon the dissolution of Sana Investors, LLC. The Reporting Person's minor children are the beneficiaries of Enzo Family Trust of 2015.

(3) Represents shares held directly by ARCH Venture Fund IX, L.P. (ARCH IX). ARCH Venture Partners IX, L.P. (AVP IX LP) is the sole general partner of ARCH IX.

(4) ARCH Venture Partners IX, LLC (AVP IX LLC) is the sole general partner of each of AVP IX LP and ARCH Venture Partners IX Overage, L.P. (AVP IX Overage LP). Keith Crandell and Clinton Bybee are managing directors of AVP IX LLC (the AVP IX MDs). AVP IX LP and AVP IX Overage LP may be deemed to beneficially own the shares held by ARCH IX and ARCH Venture Fund IX Overage, L.P. (ARCH IX Overage), respectively, AVP IX LLC may be deemed to beneficially own the shares held by ARCH IX and ARCH IX Overage, and each of the AVP IX MDs may be deemed to share the power to direct the disposition and vote of the shares held by ARCH IX and ARCH IX Overage. AVP IX LP, AVP IX Overage LP, AVP IX LLC, and the AVP IX MDs each disclaim beneficial ownership except to the extent of any pecuniary interest therein.

(5) The Reporting Person is an AVP IX MD and a member, along with Keith Crandell, Kristina Burrow and Steven Gillis, of the investment committee (the AVP X Committee Members) of ARCH Venture Partners X, LLC (AVP X LLC), and may be deemed to beneficially own the shares held by ARCH IX, ARCH IX Overage, ARCH Venture Fund X, L.P. (ARCH X), and ARCH Venture Fund X Overage, L.P. (ARCH X Overage). The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein, if any.

(6) Represents shares held directly by ARCH IX Overage. AVP IX Overage LP is the sole general partner of ARCH IX Overage.

(7) Represents shares held directly by ARCH X. ARCH Venture Partners X, L.P. (AVP X LP) is the sole general partner of ARCH X.

(8) AVP X LLC is the sole general partner of each of AVP X LP and ARCH Venture Partners X Overage, L.P. (AVP X Overage LP). AVP X LP and AVP X Overage LP may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, respectively, AVP X LLC may be deemed to beneficially own the shares held by ARCH X and ARCH X Overage, and each of the AVP X Committee Members may be deemed to share the power to direct the disposition and vote of the shares held by ARCH X and ARCH X Overage. AVP X LP, AVP X Overage LP, AVP X LLC, and the AVP X Committee Members each disclaim beneficial ownership except to the extent of any pecuniary interest therein.

(9) Represents shares held directly by ARCH X Overage. AVP X Overage LP is the sole general partner of ARCH X Overage.

**Signature:** /s/ Nathan Hardy, Attorney-in-Fact for Robert Nelsen  
**Date:** 2023-01-06

### Remarks:

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.**