4//SEC Filing
Vivo Opportunity, LLC 4
Accession 0001213900-20-002313
CIK 0001290149other
Filed
Jan 30, 7:00 PM ET
Accepted
Jan 31, 8:00 PM ET
Size
29.3 KB
Accession
0001213900-20-002313
Insider Transaction Report
Form 4
Vivo Opportunity, LLC
10% Owner
Transactions
- Conversion
Common Stock
2020-01-29+1,455,576→ 1,455,576 total(indirect: By Vivo Opportunity Fund, L.P.) - Conversion
Common Stock
2020-01-29+324,783→ 324,783 total(indirect: By: Vivo Capital Fund IX, L.P.) - Conversion
Series A Convertible Voting Preferred Stock
2020-01-29−19,213→ 0 total(indirect: By Vivo Opportunity Fund, L.P.)→ Common Stock (1,455,576 underlying) - Conversion
Common Stock
2020-01-29+75,759→ 136,715 total(indirect: By: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P.) - Conversion
Series A Convertible Voting Preferred Stock
2020-01-29−1,000→ 0 total(indirect: By: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P.)→ Common Stock (75,759 underlying) - Conversion
Series A Convertible Voting Preferred Stock
2020-01-29−4,287→ 0 total(indirect: By: Vivo Capital Fund IX, L.P.)→ Common Stock (324,783 underlying)
Footnotes (8)
- [F1]On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split.
- [F2]Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date.
- [F3]Vivo Ventures VII, LLC is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu are managing members of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Fund VII. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
- [F4]Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Albert Cha, Gaurav Aggarwal, Shan Fu, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
- [F5]Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Frank Kung, Edgar Engleman, Albert Cha, Shan Fu and Chen Yu are managing members of Vivo Capital IX, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund IX, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
- [F6]Consists of 1,000 shares of Series A Preferred Stock held by Vivo Fund VII, which are convertible into an aggregate of 75,759 shares of Common Stock, as adjusted for the Reverse Split.
- [F7]Consists of 19,213 shares of Series A Preferred Stock held by Vivo Opportunity Fund, L.P., which are convertible into an aggregate of 1,455,576 shares of Common Stock, as adjusted for the Reverse Split.
- [F8]Consists of 4,287 shares of Series A Preferred Stock held by Vivo Capital Fund IX, L.P., which are convertible into an aggregate of 324,783 shares of Common Stock, as adjusted for the Reverse Split.
Documents
Issuer
Sierra Oncology, Inc.
CIK 0001290149
Entity typeother
IncorporatedDE
Related Parties
1- filerCIK 0001728970
Filing Metadata
- Form type
- 4
- Filed
- Jan 30, 7:00 PM ET
- Accepted
- Jan 31, 8:00 PM ET
- Size
- 29.3 KB