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Filing Details

Accession Number:: 0001012975-18-000059
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2018-01-12 14:33:26
Reporting Period:: 2017-12-12

Accepted Time:: 2018-01-12 14:33:26
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1069308	Acer Therapeutics Inc.	ACER	Pharmaceutical Preparations (2834)	760333165

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1133921	Helmut Schuhsler	C/O Tvm Capital Group Ottostrasse 4 Munich 2M 80333	No	No	Yes	No
1318584	Tvm Life Science Ventures Vi Lp	C/O Tvm Capital Group Ottostrasse 4 Munich 2M 80333	Yes	No	Yes	No
1398596	Stefan Fischer	C/O Tvm Capital Group Ottostrasse 4 Munich 2M 80333	No	No	Yes	No
1398598	Hubert Birner	C/O Tvm Capital Group Ottostrasse 4 Munich 2M 80333	Yes	No	Yes	No
1599744	Tvm Life Science Ventures Vi Gmbh & Co Kg	C/O Tvm Capital Group Ottostrasse 4 Munich 2M 80333	Yes	No	Yes	No
1639971	Luc Marengere	C/O Tvm Capital Group Ottostrasse 4 Munich 2M 80333	Yes	No	Yes	No
1640880	L.p. Vii Ventures Science Life Tvm	C/O Tvm Capital Group 204, Rue Notre-Dame Ouest, Bureau 350 Montreal A8 H2Y 1T3	Yes	No	Yes	No
1718086	Mark Wanless	C/O Tvm Capital Group Ottostrasse 4 Munich 2M 80333	No	No	Yes	No
1718117	Gary Leatt	C/O Tvm Capital Group Ottostrasse 4 Munich 2M 80333	No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2017-12-12	62,062	$12.00	725,844	No	4	P	Indirect	See Footnote
Common Stock	Acquisiton	2017-12-12	21,271	$12.00	248,756	No	4	P	Indirect	See Footnote
Common Stock	Acquisiton	2017-12-12	250,000	$12.00	1,422,709	No	4	P	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	See Footnote
No	4	P	Indirect	See Footnote
No	4	P	Indirect	See Footnote

Footnotes

The shares are directly held by TVM Life Science Ventures VI GmbH & Co. KG ("TVM VI"). Hubert Birner ("Birner"), Stefan Fischer ("Fischer"), and Helmut Schuhsler ("Schuhsler") are members of the investment committee of TVM Life Science Ventures Management VI L.P. ("TVM VI Management"), a special limited partner of TVM VI, with voting and dispositive power over the shares held by TVM VI. TVM VI Management, Birner, Schuhsler and Fischer each disclaim beneficial ownership of the shares held by TVM VI, except to the extent of any pecuniary interest therein, if any. Birner is a director of the Issuer.
The shares are directly held by TVM Life Science Ventures VI L.P. ("TVM VI LP"). Birner, Schuhsler and Fischer are members of the investment committee of TVM VI Management, a special limited partner of TVM VI LP, with voting and dispositive power over the shares held by TVM VI LP. TVM VI Management, Birner, Schuhsler and Fischer each disclaim beneficial ownership of the shares held by TVM VI LP, except to the extent of any pecuniary interest therein, if any.
These shares are directly held by TVM Life Science Ventures VII L.P. ("TVM VII LP"). TVM Life Science Ventures VII (GP) Ltd. ("TVM VII GP Ltd") is the general partner of TVM VII LP. Luc Marengere ("Marengere"), Mark Wanless ("Wanless"), Gary Leatt ("Leatt"), Birner, Fischer and Schuhsler are members of the investment committee of TVM VII GP Ltd, which has voting and investment power with respect to these shares. TVM VII GP Ltd, Birner, Fischer, Schuhsler, Marengere, Wanless and Leatt each disclaim any beneficial ownership of the reported securities, except to the extent of any pecuniary interest therein, if any. Marengere is a director of the Issuer.