Filing Details

Accession Number:
0001179110-15-016634
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-12-21 21:25:58
Reporting Period:
2015-07-24
Filing Date:
2015-12-21
Accepted Time:
2015-12-21 21:25:58
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1061027 Sunesis Pharmaceuticals Inc SNSS Pharmaceutical Preparations (2834) 943295878
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1461466 Dayton Misfeldt C/O Bay City Capital Llc
750 Battery Street, Suite 400
San Francisco CA 94111
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2015-07-24 1,089,788 $1.32 5,596,088 No 4 X Indirect See footnotes.
Common Stock Disposition 2015-07-24 415,877 $3.46 5,180,211 No 4 S Indirect See footnotes.
Common Stock Acquisiton 2015-07-24 544,893 $1.32 5,725,104 No 4 X Indirect See footnotes.
Common Stock Disposition 2015-07-24 207,938 $3.46 5,517,166 No 4 S Indirect See footnotes.
Common Stock Acquisiton 2015-07-24 20,766 $1.32 106,638 No 4 X Indirect See footnotes.
Common Stock Disposition 2015-07-24 7,925 $3.46 98,713 No 4 S Indirect See footnotes.
Common Stock Acquisiton 2015-07-24 10,383 $1.32 109,096 No 4 X Indirect See footnotes.
Common Stock Disposition 2015-07-24 3,962 $3.64 105,134 No 4 S Indirect See footnotes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 X Indirect See footnotes.
No 4 S Indirect See footnotes.
No 4 X Indirect See footnotes.
No 4 S Indirect See footnotes.
No 4 X Indirect See footnotes.
No 4 S Indirect See footnotes.
No 4 X Indirect See footnotes.
No 4 S Indirect See footnotes
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrant (right to buy) Acquisiton 2015-07-24 1,089,788 $0.00 1,089,788 $1.32
Common Stock Warrant (right to buy) Acquisiton 2015-07-24 544,893 $0.00 544,983 $1.32
Common Stock Warrant (right to buy) Acquisiton 2015-07-24 20,766 $0.00 20,766 $1.32
Common Stock Warrant (right to buy) Acquisiton 2015-07-24 10,383 $0.00 1,083 $1.32
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2009-04-03 2016-04-03 No 4 X Indirect
0 2009-10-03 2016-10-03 No 4 X Indirect
0 2009-04-03 2016-04-03 No 4 X Indirect
0 2009-10-03 2016-10-03 No 4 X Indirect
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,515 Indirect See footnote.
Footnotes
  1. The reporting person is a Managing Director of Bay City Capital LLC, a Delaware limited liability company ("BCC"). BCC is the manager of Bay City Capital Management V LLC, a Delaware limited liability company ("Management V"). Management V is the general partner of 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") 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. Mr. Misfeldt, BCC and Management V disclaim beneficial ownership with respect to the securities reported in this Form 4, except to the extent of their pecuniary interest therein.
  2. These securities are held by Fund V.
  3. On July 27, 2015, Fund V exercised a warrant to purchase 1,089,788 shares of the Issuer's common stock for $1.32 a share. Fund V paid the exercise price on a cashless basis resulting in Issuer withholding 415,877 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 673,911 shares.
  4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.32 to $3.58 inclusive. Upon request, the reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the Securities and Exchange Commission, full information regarding the shares sold at each separate price within the ranges set forth in footnote four (4) of this Form 4.
  5. On July 27, 2015, Fund V exercised a warrant to purchase 544,893 shares of the Issuer's common stock for $1.32 a share. Fund V paid the exercise price on a cashless basis resulting in Issuer withholding 207,938 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 336,955 shares.
  6. These securities are held by Co-Investment V.
  7. On July 27, 2015, Co-Investment V exercised a warrant to purchase 20,766 shares of the Issuer's common stock for $1.32 a share. Fund V paid the exercise price on a cashless basis resulting in Issuer withholding 7,925 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 12,841 shares.
  8. On July 27, 2015, Co-Investment V exercised a warrant to purchase 10,383 shares of the Issuer's common stock for $1.32 a share. Fund V paid the exercise price on a cashless basis resulting in Issuer withholding 3,962 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 6,421 shares.
  9. These securities are held by BCC.