4//SEC Filing
SUNESIS PHARMACEUTICALS INC 4
Accession 0001179110-15-016634
$VIRXCIK 0001061027operating
Filed
Dec 20, 7:00 PM ET
Accepted
Dec 21, 9:25 PM ET
Size
28.9 KB
Accession
0001179110-15-016634
Insider Transaction Report
Form 4
Misfeldt Dayton
Director10% Owner
Transactions
- Sale
Common Stock
2015-07-24$3.46/sh−7,925$27,421→ 98,713 total(indirect: See footnotes.) - Exercise of In-Money
Common Stock
2015-07-24$1.32/sh+1,089,788$1,438,520→ 5,596,088 total(indirect: See footnotes.) - Sale
Common Stock
2015-07-24$3.46/sh−207,938$719,465→ 5,517,166 total(indirect: See footnotes.) - Exercise of In-Money
Common Stock
2015-07-24$1.32/sh+10,383$13,706→ 109,096 total(indirect: See footnotes.) - Sale
Common Stock
2015-07-24$3.64/sh−3,962$14,422→ 105,134 total(indirect: See footnotes) - Exercise of In-Money
Warrant (right to buy)
2015-07-24+1,089,788→ 0 total(indirect: See footnotes.)Exercise: $1.32From: 2009-04-03Exp: 2016-04-03→ Common Stock (1,089,788 underlying) - Exercise of In-Money
Warrant (right to buy)
2015-07-24+544,893→ 0 total(indirect: See footnotes.)Exercise: $1.32From: 2009-10-03Exp: 2016-10-03→ Common Stock (544,983 underlying) - Sale
Common Stock
2015-07-24$3.46/sh−415,877$1,438,934→ 5,180,211 total(indirect: See footnotes.) - Exercise of In-Money
Common Stock
2015-07-24$1.32/sh+544,893$719,259→ 5,725,104 total(indirect: See footnotes.) - Exercise of In-Money
Common Stock
2015-07-24$1.32/sh+20,766$27,411→ 106,638 total(indirect: See footnotes.) - Exercise of In-Money
Warrant (right to buy)
2015-07-24+20,766→ 0 total(indirect: See footnotes.)Exercise: $1.32From: 2009-04-03Exp: 2016-04-03→ Common Stock (20,766 underlying) - Exercise of In-Money
Warrant (right to buy)
2015-07-24+10,383→ 0 total(indirect: See footnotes.)Exercise: $1.32From: 2009-10-03Exp: 2016-10-03→ Common Stock (1,083 underlying)
Holdings
- 1,515(indirect: See footnote.)
Common Stock
Footnotes (9)
- [F1]The reporting person is a Managing Director of Bay City Capital LLC, a Delaware limited liability company ("BCC"). BCC is the manager of Bay City Capital Management V LLC, a Delaware limited liability company ("Management V"). Management V is the general partner of 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") 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. Mr. Misfeldt, BCC and Management V disclaim beneficial ownership with respect to the securities reported in this Form 4, except to the extent of their pecuniary interest therein.
- [F2]These securities are held by Fund V.
- [F3]On July 27, 2015, Fund V exercised a warrant to purchase 1,089,788 shares of the Issuer's common stock for $1.32 a share. Fund V paid the exercise price on a cashless basis resulting in Issuer withholding 415,877 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 673,911 shares.
- [F4]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.
- [F5]On July 27, 2015, Fund V exercised a warrant to purchase 544,893 shares of the Issuer's common stock for $1.32 a share. Fund V paid the exercise price on a cashless basis resulting in Issuer withholding 207,938 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 336,955 shares.
- [F6]These securities are held by Co-Investment V.
- [F7]On July 27, 2015, Co-Investment V exercised a warrant to purchase 20,766 shares of the Issuer's common stock for $1.32 a share. Fund V paid the exercise price on a cashless basis resulting in Issuer withholding 7,925 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 12,841 shares.
- [F8]On July 27, 2015, Co-Investment V exercised a warrant to purchase 10,383 shares of the Issuer's common stock for $1.32 a share. Fund V paid the exercise price on a cashless basis resulting in Issuer withholding 3,962 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 6,421 shares.
- [F9]These securities are held by BCC.
Documents
Issuer
SUNESIS PHARMACEUTICALS INC
CIK 0001061027
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001061027
Filing Metadata
- Form type
- 4
- Filed
- Dec 20, 7:00 PM ET
- Accepted
- Dec 21, 9:25 PM ET
- Size
- 28.9 KB