Accession Number: | 0001181431-14-030525 |
Date: | 2014-08-27 |
Issuer: | SUNESIS PHARMACEUTICALS INC (SNSS) |
Original Submission Date: |
BAY CITY CAPITAL LLC
750 BATTERY STREET
SUITE 400
SAN FRANCISCO, CA 94111
BAY CITY CAPITAL MANAGEMENT V LLC
C/O BAY CITY CAPITAL LLC
750 BATTERY STREET, SUITE 400
SAN FRANCISCO, CA 94111
BAY CITY CAPITAL FUND V, L.P.
C/O BAY CITY CAPITAL LLC
750 BATTERY STREET, SUITE 400
SAN FRANCISCO, CA 94111
BAY CITY CAPITAL FUND V CO-INVESTMENT FUND, L.P.
C/O BAY CITY CAPITAL LLC
750 BATTERY STREET, SUITE 400
SAN FRANCISCO, CA 94111
Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
---|---|---|---|---|---|---|---|---|---|
COMMON STOCK | 2014-08-27 | S | 98,817 | d | $8.16 | 4,795,570 f3 | direct | ||
COMMON STOCK | 2014-08-27 | S | 1,883 | d | $8.16 | 4,793,687 f4 | direct | ||
COMMON STOCK | 2014-08-28 | S | 196,260 | d | $7.89 | 4,597,427 f5 | direct | ||
COMMON STOCK | 2014-08-28 | S | 3,740 | d | $7.89 | 4,593,687 f5 | direct |
Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
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ID | footnote |
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f1 | 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. |
f2 | this transaction was executed in multiple trades at prices ranging from $8.06 to $8.2450. the price reported above reflects the weighted average sale price. the reporting persons hereby undertake to provide upon request to the sec staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |
f3 | represent securities held by fund v, including indirect interests of bcc and management v. bcc and management v each disclaims beneficial ownership with respect to these securities, except to the extent of their pecuniary interest therein. |
f4 | represent securities held by co-investment v, including indirect interests of bcc and management v. bcc and management v each disclaims beneficial ownership with respect to these securities, except to the extent of their pecuniary interest therein. |
f5 | this transaction was executed in multiple trades at prices ranging from $7.75 to $8.06. the price reported above reflects the weighted average sale price. the reporting persons hereby undertake to provide upon request to the sec staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. |