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Filing Details

Accession Number:
0000921895-17-001817
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-06-22 17:08:32
Reporting Period:
2017-06-20
Filing Date:
2017-06-22
Accepted Time:
2017-06-22 17:08:32
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1626199 Nivalis Therapeutics Inc. NVLS Investment Advice (6282) DE
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
918923 P L Fund Value Biotechnology 1 Sansome St
30Th Fl
San Francisco CA 94104
No No No Yes
1055947 P/il L Partners Bvf 1 Sansome St
30Th Fl
San Francisco CA 94104
No No Yes No
1056807 Bvf Inc/il 1 Sansome St
30Th Fl
San Francisco CA 94104
No No Yes No
1102444 Biotechnology Value Fund Ii Lp 1 Sansome St
30Th Fl
San Francisco CA 94104
No No No Yes
1233840 N Mark Lampert 1 Sansome St
30Th Fl
San Francisco CA 94104
No No Yes No
1660683 Biotechnology Value Trading Fund Os Lp P.o. Box 309 Ugland House
Grand Cayman E9 KY1-1104
No No No Yes
1660684 Ltd. Os Partners Bvf P.o. Box 309 Ugland House
Grand Cayman E9 KY1-1104
No No No Yes
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, $0.001 Par Value Acquisiton 2017-06-20 9,732 $2.25 1,109,258 No 4 P Direct
Common Stock, $0.001 Par Value Acquisiton 2017-06-20 6,359 $2.25 717,089 No 4 P Direct
Common Stock, $0.001 Par Value Acquisiton 2017-06-20 1,715 $2.25 201,811 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
No 4 P Direct
Footnotes
  1. This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owns more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.
  2. Securities owned directly by BVF. As the general partner of BVF, Partners may be deemed to beneficially own the securities owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF.
  3. Securities owned directly by BVF2. As the general partner of BVF2, Partners may be deemed to beneficially own the securities owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF2.
  4. Securities owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS, Partners may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by Trading Fund OS. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by Trading Fund OS.