4//SEC Filing
Bay City Capital Fund V, L.P. 4
Accession 0001209191-09-050759
CIK 0001061027other
Filed
Nov 2, 7:00 PM ET
Accepted
Nov 3, 7:28 PM ET
Size
19.9 KB
Accession
0001209191-09-050759
Insider Transaction Report
Form 4
BAY CITY CAPITAL LLC
10% Owner
Transactions
- Purchase
Series A Preferred Stock
2009-10-30$2.20/sh+326,936$719,259→ 980,809 totalExercise: $0.22→ Common Stock (3,269,360 underlying) - Purchase
Series A Preferred Stock
2009-10-30$2.20/sh+6,230$13,706→ 18,690 totalExercise: $0.22→ Common Stock (62,300 underlying) - Purchase
Common Stock Purchase Warrant
2009-10-30$0.13/sh+62,300$7,788→ 62,300 totalExercise: $0.22From: 2009-10-30Exp: 2016-10-30→ Common Stock (62,300 underlying) - Purchase
Common Stock Purchase Warrant
2009-10-30$0.13/sh+3,269,360$408,670→ 3,269,360 totalExercise: $0.22From: 2009-10-30Exp: 2016-10-30→ Common Stock (3,269,360 underlying)
Footnotes (6)
- [F1]Each share of Series A Preferred Stock is initially convertible into 10 shares of common stock, subject to adjustment for any stock dividends, combinations, stock splits, recapitalizations and the like. The Series A Preferred Stock is convertible at the election of the holder at any time after the earlier of (i) one day following the closing of a qualifying alternative common stock financing (as defined in the applicable Certificate of Designation) or (ii) January 24, 2011.
- [F2]All outstanding shares of Series A Preferred Stock would be automatically converted into shares of common stock upon the earlier to occur of: (i) the affirmative election of the holders of at least a majority of the outstanding shares of the Series A Preferred Stock; (ii) the date, following the closing of a qualifying alternative common stock financing (as defined in the applicable Certificate of Designation), on which the closing bid price for the common stock has been equal to or at least $0.66 per share for a period of thirty trading days with an average trading volume during such period of at least 200,000 shares; or (iii) the common equity closing (as defined in the applicable Certificate of Designation).
- [F3]Not applicable.
- [F4]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 purpose 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.
- [F5]Represent securities held by Fund V, including indirect interests of BCC and Management V. BCC and Management V each disclaim beneficial ownership with respect to these securities, except to the extent of their pecuniary interest therein.
- [F6]Represent securities held by Co-Investment V, including indirect interests of BCC and Management V. BCC and Management V each disclaim beneficial ownership with respect to these securities, except to the extent of their pecuniary interest therein.
Documents
Issuer
SUNESIS PHARMACEUTICALS INC
CIK 0001061027
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001401826
Filing Metadata
- Form type
- 4
- Filed
- Nov 2, 7:00 PM ET
- Accepted
- Nov 3, 7:28 PM ET
- Size
- 19.9 KB