Aquinox Pharmaceuticals Inc (AQXP): Baker Bros. Advisors Pushes Stake to Over 45%

Page 4 of 9 – SEC Filing
CUSIP No.   03842B101   Page   4   of   9   Pages

1.

NAMES OF REPORTING PERSONS

Julian C. Baker

2.

CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP*

(a) ¨

(b) ¨

3.

SEC USE ONLY

4.

SOURCE OF FUNDS*

OO

5.

CHECK
BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e)

 

o

6.

CITIZENSHIP OR PLACE OF ORGANIZATION

United States

NUMBER
OF SHARES
BENEFICIALLY
OWNED
BY EACH
REPORTING
PERSON
WITH

7.

SOLE VOTING POWER

10,538,352

8.

SHARED VOTING POWER:

0

9.

SOLE DISPOSITIVE POWER:

10,538,352

10.

SHARED DISPOSITIVE POWER:

0

11.

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:

10,538,352

12.

CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions)

¨

13.

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW
(11)

45.1%(1)

14.

TYPE OF REPORTING PERSON (See Instructions)

IN, HC

(1) Based on 23,365,137 shares of common stock that will be outstanding following the offering described in the Issuer’s
Prospectus filed with the SEC on September 20, 2016.

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