Filing Details
- Accession Number:
- 0000899243-15-001801
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-07-28 18:32:22
- Reporting Period:
- 2015-07-24
- Filing Date:
- 2015-07-28
- Accepted Time:
- 2015-07-28 18:32:22
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1061027 | Sunesis Pharmaceuticals Inc | SNSS | Pharmaceutical Preparations (2834) | 943295878 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1288452 | Bay City Capital Llc | 750 Battery Street, Suite 400 San Francisco CA 94111 | No | No | Yes | No | |
1401826 | Bay City Capital Fund V, L.p. | 750 Battery Street, Suite 400 San Francisco CA 94111 | No | No | Yes | No | |
1409813 | Bay City Capital Fund V Co-Investment Fund, L.p. | 750 Battery Street, Suite 400 San Francisco CA 94111 | No | No | Yes | No | |
1461543 | Bay City Capital Management V Llc | 750 Battery Street, Suite 400 San Francisco CA 94111 | No | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2015-07-24 | 1,089,788 | $1.32 | 5,683,475 | No | 4 | X | Indirect | See Footnotes |
Common Stock | Disposition | 2015-07-24 | 415,877 | $3.46 | 5,267,598 | No | 4 | S | Indirect | See Footnotes |
Common Stock | Acquisiton | 2015-07-24 | 544,893 | $1.32 | 5,812,491 | No | 4 | X | Indirect | See Footnotes |
Common Stock | Disposition | 2015-07-24 | 207,938 | $3.46 | 5,604,553 | No | 4 | S | Indirect | See Footnotes |
Common Stock | Acquisiton | 2015-07-24 | 20,766 | $1.32 | 5,625,319 | No | 4 | X | Indirect | See Footnotes |
Common Stock | Disposition | 2015-07-24 | 7,925 | $3.46 | 5,617,394 | No | 4 | S | Indirect | See Footnotes |
Common Stock | Acquisiton | 2015-07-24 | 10,383 | $1.32 | 5,627,777 | No | 4 | X | Indirect | See Footnotes |
Common Stock | Disposition | 2015-07-24 | 3,962 | $3.46 | 5,623,815 | No | 4 | S | Indirect | See Footnotes |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | X | Indirect | See Footnotes |
No | 4 | S | Indirect | See Footnotes |
No | 4 | X | Indirect | See Footnotes |
No | 4 | S | Indirect | See Footnotes |
No | 4 | X | Indirect | See Footnotes |
No | 4 | S | Indirect | See Footnotes |
No | 4 | X | Indirect | See Footnotes |
No | 4 | S | Indirect | See Footnotes |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Warrant (right to buy) | Disposition | 2015-07-24 | 1,089,788 | $0.00 | 1,089,788 | $1.32 |
Common Stock | Warrant (right to buy) | Disposition | 2015-07-24 | 544,893 | $0.00 | 544,893 | $1.32 |
Common Stock | Warrant (right to buy) | Disposition | 2015-07-24 | 20,766 | $0.00 | 20,766 | $1.32 |
Common Stock | Warrant (right to buy) | Disposition | 2015-07-24 | 10,383 | $0.00 | 10,383 | $1.32 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2009-04-03 | 2016-04-03 | No | 4 | X | Indirect |
0 | 2009-10-03 | 2016-10-03 | No | 4 | X | Indirect |
0 | 2009-04-03 | 2016-04-03 | No | 4 | X | Indirect |
0 | 2009-10-03 | 2016-10-03 | No | 4 | X | Indirect |
Footnotes
- Bay City Capital LLC, a Delaware limited liability company ("BCC"), Bay City Capital Management V LLC, a Delaware limited liability company ("Management V"), Bay City Capital Fund V, L.P., a Delaware limited partnership ("Fund V"), and Bay City Capital Fund V Co-Investment Fund, L.P., a Delaware limited partnership ("Co-Investment V") are deemed to be a "group" for the purposes of Section 13(d) under the Securities Exchange Act of 1934. Management V is the general partner of Fund V and Co-Investment V and has sole voting and dispositive power with respect to the securities held by Fund V and Co-Investment V. BCC, the manager of Management V, is also an advisor to Fund V and Co-Investment V and has sole voting and dispositive power with respect to the securities held by Fund V and Co-Investment V.
- These securities are held by Fund V.
- On July 27, 2015, Fund V exercised a warrant to purchase 1,089,788 shares of Sunesis Pharmaceuticals Inc. ("Sunesis") common stock for $1.32 a share. Fund V paid the exercise price on a cashless basis, resulting in Sunesis withholding of 415,877 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 673,911 shares.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.32 to $3.58 inclusive. Upon request, the reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the Securities and Exchange Commission, full information regarding the shares sold at each separate price within the ranges set forth in footnote four (4) of this Form 4.
- On July 27,2015, Fund V exercised a warrant to purchase 544,893 shares of Sunesis common stock for $1.32 a share. Fund V paid the exercise price on a cashless basis, resulting in Sunesis withholding of 207,938 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 336,955 shares.
- These securities are held by Co-Investment V.
- On July 27, 2015, Co-Investment V exercised a warrant to purchase 20,766 shares of Sunesis common stock for $1.32 a share. Co-Investment V paid the exercise price on a cashless basis, resulting in Sunesis withholding of 7,925 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 12,841 shares.
- On July 27, 2015, Co-Investment V exercised a warrant to purchase 10,383 shares of Sunesis common stock for $1.32 a share. Co-Investment V paid the exercise price on a cashless basis, resulting in Sunesis withholding of 3,962 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 6,421 shares.