Filing Details

Accession Number:
0001638599-19-000703
Form Type:
4
Zero Holdings:
No
Publication Time:
2019-08-08 17:00:25
Reporting Period:
2019-08-06
Accepted Time:
2019-08-08 17:00:25
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1404644 Aquinox Pharmaceuticals Inc AQXP () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1087939 Julian Baker 860 Washington Street, 3Rd Floor
New York NY 10014
Yes No Yes No
1087940 Felix Baker 860 Washington Street
3Rd Floor
New York NY 10014
Yes No Yes No
1263508 Baker Bros. Advisors Lp 860 Washington Street
3Rd Floor
New York NY 10014
Yes No Yes No
1363364 Baker Brothers Life Sciences Lp 860 Washington Street
3Rd Floor
New York NY 10014
Yes No Yes No
1551139 667, L.p. 860 Washington Street, 3Rd Floor
New York NY 10014
Yes No Yes No
1580575 Baker Bros. Advisors (Gp) Llc 860 Washington Street
3Rd Floor
New York NY 10014
Yes No Yes 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 2019-08-06 855 $2.83 1,170,550 No 4 P Indirect See footnotes
Common Stock Acquisiton 2019-08-06 9,445 $2.83 9,773,904 No 4 P Indirect See footnotes
Common Stock Acquisiton 2019-08-06 5,932 $2.85 1,176,482 No 4 P Indirect See footnotes
Common Stock Acquisiton 2019-08-06 65,568 $2.85 9,839,472 No 4 P Indirect See footnotes
Common Stock Acquisiton 2019-08-07 531 $2.96 1,177,013 No 4 P Indirect See footnotes
Common Stock Acquisiton 2019-08-07 5,869 $2.96 9,845,341 No 4 P Indirect See footnotes
Common Stock Acquisiton 2019-08-07 18,943 $3.02 1,195,956 No 4 P Indirect See footnotes
Common Stock Acquisiton 2019-08-07 209,382 $3.02 10,054,723 No 4 P Indirect See footnotes
Common Stock Acquisiton 2019-08-07 4,564 $3.15 1,200,520 No 4 P Indirect See footnotes
Common Stock Acquisiton 2019-08-07 50,436 $3.15 10,105,159 No 4 P Indirect See footnotes
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See footnotes
No 4 P Indirect See footnotes
No 4 P Indirect See footnotes
No 4 P Indirect See footnotes
No 4 P Indirect See footnotes
No 4 P Indirect See footnotes
No 4 P Indirect See footnotes
No 4 P Indirect See footnotes
No 4 P Indirect See footnotes
No 4 P Indirect See footnotes
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 2,260 Direct
Common Stock 2,260 Direct
Footnotes
  1. Common stock ("Common Stock") of Aquinox Pharmaceuticals, Inc. (the "Issuer") directly held by Julian C. Baker. These shares were received in an in kind pro rata distribution from an affiliated investment fund in January 2015 without consideration.
  2. Common Stock directly held by Felix J. Baker. These shares were received in an in kind pro rata distribution from an affiliated investment fund in January 2015 without consideration.
  3. The price reported in Column 4 is a weighted average price. These shares were traded by 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences", and together with 667, the "Funds") in multiple transactions at prices ranging from $2.76 to $2.90, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission (the "Staff"), upon request, full information regarding the number of shares traded at each separate price within the range set forth in this footnote.
  4. After giving effect to the transactions reported herein and as a result of their ownership interest in (i) Baker Biotech Capital, L.P. and (ii) 667, Julian C. Baker and Felix J. Baker each may be deemed to have an indirect pecuniary interest in Common Stock reported in column 5 of Table I directly held by 667, a limited partnership of which the sole general partner is Baker Biotech Capital, L.P., a limited partnership of which the sole general partner is Baker Biotech Capital (GP),LLC, due to Baker Biotech Capital, L.P.'s right to receive an allocation of a portion of the profits from 667.
  5. After giving effect to the transactions reported herein and as a result of their ownership interest in (i) Baker Brothers Life Sciences Capital, L.P. and (ii) Life Sciences, Julian C. Baker and Felix J. Baker each may be deemed to have an indirect pecuniary interest in Common Stock reported in column 5 of Table I directly held by Life Sciences, a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital, L.P., a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital (GP), LLC, due to Baker Brothers Life Sciences Capital, L.P.'s right to receive an allocation of a portion of the profits from Life Sciences.
  6. The price reported in Column 4 is a weighted average price. These shares were traded by 667 and Life Sciences in multiple transactions at prices ranging from $2.79 to $2.90, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the Staff, upon request, full information regarding the number of shares traded at each separate price within the range set forth in this footnote.
  7. The price reported in Column 4 is a weighted average price. These shares were traded by 667 and Life Sciences in multiple transactions at prices ranging from $2.955 to $2.960, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the Staff, upon request, full information regarding the number of shares traded at each separate price within the range set forth in this footnote.
  8. The price reported in Column 4 is a weighted average price. These shares were traded by 667 and Life Sciences in multiple transactions at prices ranging from $2.94 to $3.26, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the Staff, upon request, full information regarding the number of shares traded at each separate price within the range set forth in this footnote.
  9. The price reported in Column 4 is a weighted average price. These shares were traded by 667 and Life Sciences in multiple transactions at prices ranging from $3.03 to $3.23, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the Staff, upon request, full information regarding the number of shares traded at each separate price within the range set forth in this footnote.
  10. Baker Bros. Advisors LP (the "Adviser") serves as the investment adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held by the Funds.
  11. Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose.