-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, LmPxhhWhL5lAaxaWYPQoHC4TgF0er7x7kr3H2KPIML4GTjGzK0D7xpYdSIRhmNaZ N0dSDMg7t5kuF78zeFmlLQ== 0000899140-07-001096.txt : 20070531 0000899140-07-001096.hdr.sgml : 20070531 20070531123122 ACCESSION NUMBER: 0000899140-07-001096 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20070531 DATE AS OF CHANGE: 20070531 GROUP MEMBERS: WARBURG PINCUS & CO. GROUP MEMBERS: WARBURG PINCUS LLC GROUP MEMBERS: WARBURG PINCUS PARTNERS LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SUNESIS PHARMACEUTICALS INC CENTRAL INDEX KEY: 0001061027 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 943295878 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-81034 FILM NUMBER: 07890037 BUSINESS ADDRESS: STREET 1: 341 OYSTER POINT BOULEVARD CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 BUSINESS PHONE: 650-266-3500 MAIL ADDRESS: STREET 1: 341 OYSTER POINT BOULEVARD CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 FORMER COMPANY: FORMER CONFORMED NAME: MOSAIC PHARMACEUTICALS INC DATE OF NAME CHANGE: 19980709 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WARBURG PINCUS EQUITY PARTNERS LP CENTRAL INDEX KEY: 0001075598 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 466 LEXINGTON AVE. CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2128780600 SC 13D/A 1 s3762502b.txt AMENDMENT NO. 2 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 2) Under the Securities Exchange Act of 1934* Sunesis Pharmaceuticals, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.0001 Par Value - -------------------------------------------------------------------------------- (Title of Class of Securities) 867328 50 2 ----------- - -------------------------------------------------------------------------------- (CUSIP Number) Scott A. Arenare, Esq. Managing Director and General Counsel Warburg Pincus LLC 466 Lexington Avenue New York, New York 10017 (212) 878-0600 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) May 30, 2007 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of ss.ss. 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box: [ ] NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 240.13d-7 for other parties to whom copies are to be sent. * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). SCHEDULE 13D - --------------------- ------------------------- CUSIP No. 26928A 20 0 Page 2 of 13 pages - --------------------- ------------------------- - ------------- ------------------------------------------------------------------ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Warburg, Pincus Equity Partners, L.P. I.R.S. #13-3986317 - ------------- ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [X] - ------------- ------------------------------------------------------------------ 3 SEC USE ONLY - ------------- ------------------------------------------------------------------ 4 SOURCE OF FUNDS (See Instructions) WC - ------------- ------------------------------------------------------------------ 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - ------------- ------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ----------------------- ----------- -------------------------------------------- 7 SOLE VOTING POWER2 -0- ----------- -------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 4,545,621 OWNED BY EACH ----------- -------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ----------- -------------------------------------------- 10 SHARED DISPOSITIVE POWER 4,545,621 - ------------- ------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,545,621 - ------------- ------------------------------------------------------------------ 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ------------- ------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13.2% - ------------- ------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON (See Instructions) PN - ------------- ------------------------------------------------------------------ SCHEDULE 13D - --------------------- ------------------------- CUSIP No. 26928A 20 0 Page 3 of 13 pages - --------------------- ------------------------- - ------------- ------------------------------------------------------------------ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Warburg Pincus & Co. I.R.S. #13-6358475 - ------------- ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [X] - ------------- ------------------------------------------------------------------ 3 SEC USE ONLY - ------------- ------------------------------------------------------------------ 4 SOURCE OF FUNDS (See Instructions) N/A - ------------- ------------------------------------------------------------------ 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - ------------- ------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York - ----------------------- ----------- -------------------------------------------- 7 SOLE VOTING POWER2 -0- ----------- -------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 4,545,621 OWNED BY EACH ----------- -------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ----------- -------------------------------------------- 10 SHARED DISPOSITIVE POWER 4,545,621 - ------------- ------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,545,621 - ------------- ------------------------------------------------------------------ 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ------------- ------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13.2% - ------------- ------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON (See Instructions) PN - ------------- ------------------------------------------------------------------ SCHEDULE 13D - --------------------- ------------------------- CUSIP No. 26928A 20 0 Page 4 of 13 pages - --------------------- ------------------------- - ------------- ------------------------------------------------------------------ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Warburg Pincus LLC I.R.S. #13-3536050 - ------------- ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [X] - ------------- ------------------------------------------------------------------ 3 SEC USE ONLY - ------------- ------------------------------------------------------------------ 4 SOURCE OF FUNDS (See Instructions) N/A - ------------- ------------------------------------------------------------------ 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - ------------- ------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York - ----------------------- ----------- -------------------------------------------- 7 SOLE VOTING POWER2 -0- ----------- -------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 4,545,621 OWNED BY EACH ----------- -------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ----------- -------------------------------------------- 10 SHARED DISPOSITIVE POWER 4,545,621 - ------------- ------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,545,621 - ------------- ------------------------------------------------------------------ 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ------------- ------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13.2% - ------------- ------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON (See Instructions) OO - ------------- ------------------------------------------------------------------ SCHEDULE 13D - --------------------- ------------------------- CUSIP No. 26928A 20 0 Page 5 of 13 pages - --------------------- ------------------------- - ------------- ------------------------------------------------------------------ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Warburg Pincus Partners LLC I.R.S. #13-4069737 - ------------- ------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [X] - ------------- ------------------------------------------------------------------ 3 SEC USE ONLY - ------------- ------------------------------------------------------------------ 4 SOURCE OF FUNDS (See Instructions) N/A - ------------- ------------------------------------------------------------------ 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - ------------- ------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York - ----------------------- ----------- -------------------------------------------- 7 SOLE VOTING POWER2 -0- ----------- -------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 4,545,621 OWNED BY EACH ----------- -------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ----------- -------------------------------------------- 10 SHARED DISPOSITIVE POWER 4,545,621 - ------------- ------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,545,621 - ------------- ------------------------------------------------------------------ 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - ------------- ------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 13.2% - ------------- ------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON (See Instructions) OO - ------------- ------------------------------------------------------------------ This Amendment No. 2 to Schedule 13D (this "Amendment") is being filed on behalf of Warburg, Pincus Equity Partners, L.P., a Delaware limited partnership (together with two affiliated entities, "WPEP"), Warburg Pincus LLC, a New York limited liability company ("WP LLC"), Warburg Pincus & Co., a New York general partnership ("WP") and Warburg Pincus Partners LLC, a New York limited liability company and a subsidiary of WP ("WPP LLC"). The holdings of Common Stock of WPEP, WP LLC, WP and WPP LLC include certain shares of Common Stock which may be deemed to be beneficially owned by Warburg, Pincus Netherlands Equity Partners I, C.V. ("WPNEP I") and Warburg, Pincus Netherlands Equity Partners III, C.V. ("WPNEP III" and, together with WPEP and WPNEP I, the "Investors"). WPEP, WP, WP LLC, WPP LLC are collectively referred to as the "Warburg Pincus Reporting Persons". This Amendment relates to the common stock, par value $0.0001 per share (the "Common Stock"), of Sunesis Pharmaceuticals, Inc., a Delaware corporation (the "Company"). Charles R. Kaye and Joseph P. Landy are Managing General Partners of WP and Managing Members and Co-Presidents of WP LLC and may be deemed to control the Warburg Pincus Reporting Persons. Messrs. Kaye and Landy disclaim beneficial ownership of all shares held by the Warburg Pincus Reporting Persons. The Warburg Pincus Reporting Persons are filing this Amendment because they have purchased shares of the Common Stock of the Company in connection with a public offering by the Company pursuant to a prospectus dated May 24, 2007 (the "2007 Prospectus"). Such public offering (the "2007 Public Offering") was consummated on May 30, 2007. As a result of this acquisition, the percentage of shares of the Common Page 6 of 13 Stock of which the Warburg Pincus Reporting Persons may be deemed to be the beneficial owners has increased by more than one percent. Item 3. Source and Amount of Funds or Other Consideration. Item 3 is hereby amended by inserting the following at the end thereof: The Investors purchased 677,200 new shares of Common Stock (the "New Shares"). The aggregate purchase price paid by the Investors for the New Shares was $2,999,996. All of the funds required to acquire the New Shares were obtained from the working capital of the Investors. Item 5. Interest in Securities of the Issuer. Items 5(a) and 5(b) are hereby amended by replacing them in their entirety with the following: (a) As of May 30, 2007, each of the Warburg Pincus Reporting Persons may be deemed to beneficially own 4,545,621 shares of the Common Stock, representing 13.2% of the outstanding Common Stock, based on: the 29,473,297 shares reported by the Company in the 2007 Prospectus as outstanding on March 31, 2007 prior to the 2007 Public Offering, the 4,750,000 shares of Common Stock issued by the Company in connection with the 2007 Public Offering, and the 241,546 shares of Common Stock for which the Warburg Pincus Reporting Persons are entitled to subscribe pursuant to the Common Stock Warrants of the Company dated March 17, 2006. (b) Each of the Warburg Pincus Reporting Persons shares the power to vote or to direct the vote and to dispose or to direct the disposition of the 4,545,621 shares of Common Stock it may be deemed to beneficially own. Page 7 of 13 The Warburg Pincus Reporting Persons are making this single, joint filing because they may be deemed to constitute a "person" or "group" within the meaning of Section 13(d)(3) of the Exchange Act. The filing of this Amendment shall not be construed as an admission of such beneficial ownership or that the Warburg Pincus Reporting Persons constitute a person or group. The last sentence of Item 5(c) is hereby amended by replacing it in its entirety with the following: (c) On May 30, 2007, the Investors purchased 677,200 shares of Common Stock at a purchase price of $4.430 per share in the 2007 Public Offering. The aggregate purchase price paid by the Warburg Pincus Reporting Persons was $2,999,996. No other transactions in the Common Stock were effected during the past sixty days by the Warburg Pincus Reporting Persons or any of the persons set forth on Schedule I hereto. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. Item 6 is hereby amended by inserting the following at the end thereof: In connection with the 2007 Public Offering and pursuant to a Lock-up Letter Agreement, dated May 17, 2007, by and among Lehman Brothers Inc., on behalf of Lehman Brothers Inc., Cowen and Company, LLC, and C.E. Unterberg, Towbin, Inc. (the "Underwriters"), and the Investors (the "Lock-up Agreement"), the Investors have agreed that, without the prior written consent of Lehman Brothers Inc., on behalf of the Underwriters, they will not, directly or indirectly, (1) offer for sale, sell, pledge or otherwise dispose of (or enter into any transaction or device that is designed to, or could be expected to, result in the disposition by any person at any time in the future of) any shares of Common Stock (including, without limitation, shares of Page 8 of 13 pages Common Stock that may be deemed to be beneficially owned by the Investors in accordance with the rules and regulations of the Securities and Exchange Commission and shares of Common Stock that may be issued upon exercise of any options or warrants), (2) enter into any swap or other derivatives transaction that transfers to another, in whole or in part, any of the economic benefits or risks of ownership of shares of Common Stock for a period of 90 days after May 30, 2007. This summary of the Lock-up Agreement is qualified in its entirety by reference to the Lock-up Agreement, which is attached hereto, as Exhibit G. Item 7. Material to Be Filed as Exhibits. In addition to the exhibits filed with the original Schedule 13D, the following additional exhibits are filed herewith: Exhibit G Lock-up Agreement, dated May 17, 2007, by and among Lehman Brothers, Inc., on behalf of the Underwriters, and the Investors. Page 9 of 13 pages SIGNATURES After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Dated: May 30, 2007 WARBURG, PINCUS EQUITY PARTNERS, L.P. By: Warburg Pincus Partners LLC, its General Partner By: Warburg Pincus & Co., its Managing Member By: /s/ Scott A. Arenare ------------------------ Name: Scott A. Arenare Title: Partner Dated: May 30, 2007 WARBURG PINCUS & CO. By: /s/ Scott A. Arenare ------------------------- Name: Scott A. Arenare Title: Partner Dated: May 30, 2007 WARBURG PINCUS LLC By: /s/ Scott A. Arenare ------------------------- Name: Scott A. Arenare Title: Managing Director Dated: May 30, 2007 WARBURG PINCUS PARTNERS LLC By: Warburg Pincus & Co., its Managing Member By: /s/ Scott A. Arenare ------------------------- Name: Scott A. Arenare Title: Partner SCHEDULE I Set forth below is the name, position and present principal occupation of each of the general partners of Warburg Pincus & Co. ("WP") and members of Warburg Pincus LLC ("WP LLC"). The sole general partner of Warburg Pincus Equity Partners, L.P. ("WPEP") is Warburg Pincus Partners, LLC ("WP Partners LLC"), a direct subsidiary of WP. WPEP, WP Partners LLC, WP and WP LLC are hereinafter collectively referred to as the "Reporting Entities". Except as otherwise indicated, the business address of each of such persons is 466 Lexington Avenue, New York, New York 10017, and each of such persons is a citizen of the United States. GENERAL PARTNERS OF WP ---------------------- - -------------------------- ----------------------------------------------------- PRESENT PRINCIPAL OCCUPATION IN ADDITION TO POSITION WITH WP, AND POSITIONS NAME WITH THE REPORTING ENTITIES - -------------------------- ----------------------------------------------------- Joel Ackerman Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Scott A. Arenare Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- David Barr Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Sean D. Carney Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Mark Colodny Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- David A. Coulter Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Timothy J. Curt Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- W. Bowman Cutter Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Cary J. Davis Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- David W. Dorman Partner of WP; Member and Senior Advisor of WP LLC - -------------------------- ----------------------------------------------------- Michael Graff Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Patrick T. Hackett Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- E. Davisson Hardman Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Jeffrey A. Harris Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Stewart J. Hen Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- William H. Janeway Partner of WP; Member and Senior Advisor of WP LLC - -------------------------- ----------------------------------------------------- Julie A. Johnson Staples Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- - -------------------------- ----------------------------------------------------- Chansoo Joung Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Peter R. Kagan Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Charles R. Kaye Managing General Partner of WP; Managing Member and Co-President of WP LLC - -------------------------- ----------------------------------------------------- Henry Kressel Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- David Krieger Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Kevin Kruse Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Joseph P. Landy Managing General Partner of WP; Managing Member and Co-President of WP LLC - -------------------------- ----------------------------------------------------- Sidney Lapidus Partner of WP; Member and Senior Advisor of WP LLC - -------------------------- ----------------------------------------------------- Kewsong Lee Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Jonathan S. Leff Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Philip Mintz Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- James Neary Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Bilge Ogut Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Dalip Pathak Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Michael F. Profenius Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Stan Raatz Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Justin Sadrian Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Henry B. Schacht Partner of WP; Member and Senior Advisor of WP LLC - -------------------------- ----------------------------------------------------- Steven G. Schneider Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- John Shearburn Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Mimi Strouse Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Barry Taylor Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Christopher H. Turner Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- John L. Vogelstein Partner of WP; Member and Senior Advisor of WP LLC - -------------------------- ----------------------------------------------------- Elizabeth H. Weatherman Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- - -------------------------- ----------------------------------------------------- David J. Wenstrup Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Rosanne Zimmerman Partner of WP; Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Pincus & Company LLC* - -------------------------- ----------------------------------------------------- WP & Co. Partners, L.P.** - -------------------------- ----------------------------------------------------- Warburg Pincus Principal Partnership, L.P.*** - -------------------------- ----------------------------------------------------- Warburg Pincus Real Estate Principal Partnership, L.P.*** - -------------------------- ----------------------------------------------------- Warburg Pincus 2006 Limited Partnership*** - -------------------------- ----------------------------------------------------- - -------------------- * New York limited liability company; primary activity is ownership interest in WP and WP LLC ** New York limited partnership; primary activity is ownership interest in WP *** Delaware limited partnership; primary activity is ownership interest in WP MEMBERS OF WP LLC ----------------- - -------------------------- ----------------------------------------------------- PRESENT PRINCIPAL OCCUPATION IN ADDITION TO POSITION WITH WP, AND POSITIONS NAME WITH THE REPORTING ENTITIES - -------------------------- ----------------------------------------------------- Joel Ackerman Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Scott A. Arenare Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- David Barr Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Sean D. Carney Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Julian Cheng (1) Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Stephen John Coates (2) Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Mark Colodny Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- David A. Coulter Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Timothy J. Curt Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- W. Bowman Cutter Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Cary J. Davis Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- David W. Dorman Member and Senior Advisor of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Rajiv Ghatalia (1) Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Michael Graff Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Patrick T. Hackett Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- E. Davisson Hardman Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Jeffrey A. Harris Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Stewart J. Hen Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- William H. Janeway Member and Senior Advisor of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Julie A. Johnson Staples Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Chansoo Joung Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- - -------------------------- ----------------------------------------------------- Peter R. Kagan Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Charles R. Kaye Managing Member and Co-President of WP LLC; Managing General Partner of WP - -------------------------- ----------------------------------------------------- Rajesh Khanna (3) Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Henry Kressel Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- David Krieger Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Kevin Kruse Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Joseph P. Landy Managing Member and Co-President of WP LLC; Managing General Partner of WP - -------------------------- ----------------------------------------------------- Sidney Lapidus Member and Senior Advisor of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Kewsong Lee Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Jonathan S. Leff Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Jeff Leng (1) Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- David Li (1) Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Nicholas J. Lowcock (2) Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Niten Malhan (3) Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Philip Mintz Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- James Neary Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Bilge Ogut Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Dalip Pathak Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Michael F. Profenius Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Leo Puri (3) Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Stan Raatz Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Justin Sadrian Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Henry B. Schacht Member and Senior Advisor of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Steven G. Schneider Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Joseph C. Schull (4) Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- - -------------------------- ----------------------------------------------------- John Shearburn Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Mimi Strouse Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Chang Q. Sun (1) Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Barry Taylor Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Christopher H. Turner Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Simon Turton (2) Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- John L. Vogelstein Member and Senior Advisor of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Elizabeth H. Weatherman Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- David J. Wenstrup Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Peter Wilson (2) Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Jeremy S. Young (2) Member and Managing Director of WP LLC - -------------------------- ----------------------------------------------------- Rosanne Zimmerman Member and Managing Director of WP LLC; Partner of WP - -------------------------- ----------------------------------------------------- Pincus & Company LLC* - -------------------------- ----------------------------------------------------- (1) Citizen of Hong Kong (2) Citizen of United Kingdom (3) Citizen of India (4) Citizen of Canada * New York limited liability company; primary activity is ownership interest in WP and WP LLC As of May 29, 2007 EX-99.G 3 s3762502c.txt FORM OF LOCK-UP LETTER AGREEMENT Exhibit 99.G FORM OF LOCK-UP LETTER AGREEMENT LEHMAN BROTHERS INC. As Representative of the several Underwriters named in Schedule 1, c/o Lehman Brothers Inc. 745 Seventh Avenue New York, New York 10019 Ladies and Gentlemen: The undersigned understands that you and certain other fines (the "Underwriters") propose to enter into an Underwriting Agreement (the "Underwriting Agreement") providing for the purchase by the Underwriters of shares (the "Stock") of Common Stock, par value $0.0001 per share (the "Common Stock"), of Sunesis Pharmaceuticals, Inc., a Delaware corporation (the "Company"), and that the Underwriters propose to reoffer the Stock to the public (the "Offering"). In consideration of the execution of the Underwriting Agreement by the Underwriters, and for other good and valuable consideration, the undersigned hereby irrevocably agrees that, without the prior written consent of Lehman Brothers Inc., on behalf of the Underwriters, the undersigned will not, directly or indirectly, (1) offer for sale, sell, pledge, or otherwise dispose of (or enter into any transaction or device that is designed to, or could be expected to, result in the disposition by any person at any time in the future of) any shares of Common Stock (including, without limitation, shares of Common Stock that may be deemed to be beneficially owned by the undersigned in accordance with the rules and regulations of the Securities and Exchange Commission and shares of Common Stock that may be issued upon exercise of any options or warrants) or securities convertible into or exercisable or exchangeable for Common Stock, (2) enter into any swap or other derivatives transaction that transfers to another, in whole or in part, any of the economic benefits or risks of ownership of shares of Common Stock, whether any such transaction described in clause (1) or (2) above is to be settled by delivery of Common Stock or other securities, in cash or otherwise, (3) make any demand for or exercise any right or cause to be filed a registration statement, including any amendments thereto, with respect to the registration of any shares of Common Stock or securities convertible into or exercisable or exchangeable for Common Stock or any other securities of the Company or (4) publicly disclose the intention to do any of the foregoing, for a period commencing on the date hereof and ending on the 90th day after the date of the Prospectus relating to the Offering (such 90-day period, the "Lock-Up Period"). Notwithstanding the foregoing, if (1) during the last 17 days of the Lock-Up Period, the Company issues an earnings release or material news or a material event relating to the Company occurs or (2) prior to the expiration of the Lock-Up Period, the Company announces that it will release earnings results during the 16-day period beginning on the last day of the Lock-Up Period, then the restrictions imposed by this Lock-Up Letter Agreement shall continue to apply until the expiration of the 18-day period beginning on the issuance of the earnings release or the announcement of the material news or the occurrence of the material event, unless Lehman Brothers Inc. waives such extension in writing. The undersigned hereby further agrees that, prior to engaging in any transaction or taking any other action that is subject to the terms of this Lock-Up Letter Agreement durin the period from the date of this Lock-Up Letter Agreement to and including the 34t day following the expiration of the Lock-Up Period, it will give notice thereof to the Company and will not consummate such transaction or take any such action unless it has received written confirmation from the Company that the Lock-Up Period (as such may have been extended pursuant to this paragraph) has expired. The foregoing paragraph shall not apply to (1) transfers of Common Stock or securities convertible into or exchangeable or exercisable for any shares of Common Stock made as a bona fide gift or gifts, provided that the donee or donees thereof agree in writing to be bound by the terms of this Lock-Up Letter Agreement prior to such transfer, (2) transfers of Common Stock or securities convertible into or exchangeable or exercisable for any shares of Common Stock to an immediate family member of the undersigned or to any trust for the direct or indirect benefit of the undersigned or an immediate family member of the undersigned, provided that the transferee agrees in writing to be bound by the terms of this Lock-Up Letter Agreement prior to such transfer and (3) distributions to partners, members, shareholders or affiliates of the undersigned, provided that the undersigned is a limited partnership, limited liability company or corporation and the distributees thereof agree in writing to be bound by the terms of this Lock-Up Letter Agreement prior to such distribution. In furtherance of the foregoing, the Company and its transfer agent are hereby authorized to decline to make any transfer of securities if such transfer would constitute a violation or breach of this Lock-Up Letter Agreement. It is understood that, if the Company notifies the Underwriters that it does not intend to proceed with the Offering, if the Underwriting Agreement does not become effective, or if the Underwriting Agreement (other than the provisions thereof which survive termination) shall terminate or be terminated prior to payment for and delivery of the Stock, the undersigned will be released from its obligations under this Lock-Up Letter Agreement. Notwithstanding the foregoing, if the Offering does not occur on or prior to August 31, 2007, this Lock-Up Letter shall terminate upon such date and be of no further force and effect. The undersigned understands that the Company and the Underwriters will proceed with the Offering in reliance on this Lock-Up Letter Agreement. Whether or not the Offering actually occurs depends on a number of factors, including market conditions. Any Offering will only be made pursuant to an Underwriting Agreement, the terms of which are subject to negotiation between the Company and the Underwriters. [Signature page follows] The undersigned hereby represents and warrants that the undersigned has full power and authority to enter into this Lock-Up Letter Agreement and that, upon request, the undersigned will execute any additional documents necessary in connection with the enforcement hereof. Any obligations of the undersigned shall be binding upon the heirs, personal representatives, successors and assigns of the undersigned. Very truly yours, Warburg Pincus Equity Partners, L.P. By: Warburg Pincus Partners, LLC its General Partner By: Warburg Pincus & Co. By: /s/ Scott A. Arenare ----------------------------------------------- Name: Scott A, Arenare Title: Partner Warburg Pincus Netherlands Equity Partners I, C.V. By: Warburg Pincus Partners, LLC its General Partner By: Warburg Pincus & Co. By: /s/ Scott A. Arenare ----------------------------------------------- Name: Scott A, Arenare Title: Partner Warburg Pincus Netherlands Equity Partners III, C.V. By: Warburg Pincus Partners, LLC its General Partner By: Warburg Pincus & Co. By: /s/ Scott A. Arenare ----------------------------------------------- Name: Scott A, Arenare Title: Partner Dated: May 17, 2007 -----END PRIVACY-ENHANCED MESSAGE-----