Statement of Changes in Beneficial Ownership (4)
July 15 2019 - 4:16PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Aisling Capital IV, LP
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2. Issuer Name
and
Ticker or Trading Symbol
SUNESIS PHARMACEUTICALS INC
[
SNSS
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
C/O AISLING CAPITAL MANAGEMENT LP, 888 SEVENTH AVENUE, 12TH FLOOR
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3. Date of Earliest Transaction
(MM/DD/YYYY)
7/15/2019
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(Street)
NEW YORK, NY 10106
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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7/15/2019
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P
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2500000
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A
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$0.60
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10100000
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I
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See footnote
(1)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(1)
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Shares held by Aisling Capital IV, LP ("Aisling"). Aisling Capital Partners IV, LP ("Aisling GP"), is the general partner of Aisling. Aisling Capital Partners IV LLC ("Aisling Partners"), is the general partner of Aisling GP. The individual managing members ("the Aisling Managers"), of Aisling Partners are Andrew Schiff, M.D. and Steve Elms. By virtue of these relationships, Aisling GP, Aisling Partners and the Aisling Managers may be deemed to have voting and investment power over the shares held by Aisling. Each of the reporting persons, other than Aisling, disclaims beneficial ownership of the shares held by Aisling, except to the extent of any pecuniary interest therein, if any.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Aisling Capital IV, LP
C/O AISLING CAPITAL MANAGEMENT LP
888 SEVENTH AVENUE, 12TH FLOOR
NEW YORK, NY 10106
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X
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Aisling Capital Partners IV LLC
C/O AISLING CAPITAL MANAGEMENT LP
888 SEVENTH AVE., 12TH FLOOR
NEW YORK, NY 10106
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X
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Aisling Capital Partners IV, LP
C/O AISLING CAPITAL MANAGEMENT LP
888 SEVENTH AVE., 12TH FLOOR
NEW YORK, NY 10106
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X
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SCHIFF ANDREW N
C/O AISLING CAPITAL MANAGEMENT LP
888 SEVENTH AVE., 12TH FLOOR
NEW YORK, NY 10106
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X
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ELMS STEVE
C/O AISLING CAPITAL MANAGEMENT LP
888 SEVENTH AVE., 12TH FLOOR
NEW YORK, NY 10106
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X
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Signatures
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/s/ Aisling Capital IV, LP by Andrew N. Schiff
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7/15/2019
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**
Signature of Reporting Person
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Date
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/s/ Aisling Capital Partners IV LLC by Andrew N. Schiff
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7/15/2019
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**
Signature of Reporting Person
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Date
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/s/ Aisling Capital Partners IV, LP by Andrew N. Schiff
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7/15/2019
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**
Signature of Reporting Person
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Date
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/s/ Andrew N. Schiff
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7/15/2019
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**
Signature of Reporting Person
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Date
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/s/ Steve Elms
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7/15/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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