0000899243-15-001801.txt : 20150728
0000899243-15-001801.hdr.sgml : 20150728
20150728183222
ACCESSION NUMBER: 0000899243-15-001801
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150724
FILED AS OF DATE: 20150728
DATE AS OF CHANGE: 20150728
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SUNESIS PHARMACEUTICALS INC
CENTRAL INDEX KEY: 0001061027
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 943295878
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 395 OYSTER POINT BOULEVARD
STREET 2: SUITE 400
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
BUSINESS PHONE: 650-266-3500
MAIL ADDRESS:
STREET 1: 395 OYSTER POINT BOULEVARD
STREET 2: SUITE 400
CITY: SOUTH SAN FRANCISCO
STATE: CA
ZIP: 94080
FORMER COMPANY:
FORMER CONFORMED NAME: MOSAIC PHARMACEUTICALS INC
DATE OF NAME CHANGE: 19980709
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Bay City Capital Fund V Co-Investment Fund, L.P.
CENTRAL INDEX KEY: 0001409813
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-51531
FILM NUMBER: 151010748
BUSINESS ADDRESS:
STREET 1: 750 BATTERY STREET
STREET 2: Suite 400
CITY: San Francisco
STATE: CA
ZIP: 94111
BUSINESS PHONE: (415) 676-3830
MAIL ADDRESS:
STREET 1: 750 BATTERY STREET
STREET 2: Suite 400
CITY: San Francisco
STATE: CA
ZIP: 94111
FORMER NAME:
FORMER CONFORMED NAME: Bay City Capital Fund V Co-Investment Fund LP
DATE OF NAME CHANGE: 20070815
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Bay City Capital Fund V, L.P.
CENTRAL INDEX KEY: 0001401826
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-51531
FILM NUMBER: 151010749
BUSINESS ADDRESS:
STREET 1: 750 Battery Street
STREET 2: Suite 400
CITY: San Francisco
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-676-3830
MAIL ADDRESS:
STREET 1: 750 Battery Street
STREET 2: Suite 400
CITY: San Francisco
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Bay City Capital Management V LLC
CENTRAL INDEX KEY: 0001461543
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-51531
FILM NUMBER: 151010750
BUSINESS ADDRESS:
STREET 1: 750 BATTERY STREET, SUITE 400
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-676-3830
MAIL ADDRESS:
STREET 1: 750 BATTERY STREET, SUITE 400
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BAY CITY CAPITAL LLC
CENTRAL INDEX KEY: 0001288452
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-51531
FILM NUMBER: 151010751
BUSINESS ADDRESS:
STREET 1: 750 BATTERY STREET STE 400
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415.676.3830
MAIL ADDRESS:
STREET 1: 750 BATTERY STREET STE 400
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
FORMER NAME:
FORMER CONFORMED NAME: BAY CITY CAPITAL FUND LLC
DATE OF NAME CHANGE: 20040423
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2015-07-24
0
0001061027
SUNESIS PHARMACEUTICALS INC
SNSS
0001288452
BAY CITY CAPITAL LLC
750 BATTERY STREET, SUITE 400
SAN FRANCISCO
CA
94111
0
0
1
0
0001461543
Bay City Capital Management V LLC
750 BATTERY STREET, SUITE 400
SAN FRANCISCO
CA
94111
0
0
1
0
0001401826
Bay City Capital Fund V, L.P.
750 BATTERY STREET, SUITE 400
SAN FRANCISCO
CA
94111
0
0
1
0
0001409813
Bay City Capital Fund V Co-Investment Fund, L.P.
750 BATTERY STREET, SUITE 400
SAN FRANCISCO
CA
94111
0
0
1
0
Common Stock
2015-07-24
4
X
0
1089788
1.32
A
5683475
I
See Footnotes
Common Stock
2015-07-24
4
S
0
415877
3.46
D
5267598
I
See Footnotes
Common Stock
2015-07-24
4
X
0
544893
1.32
A
5812491
I
See Footnotes
Common Stock
2015-07-24
4
S
0
207938
3.46
D
5604553
I
See Footnotes
Common Stock
2015-07-24
4
X
0
20766
1.32
A
5625319
I
See Footnotes
Common Stock
2015-07-24
4
S
0
7925
3.46
D
5617394
I
See Footnotes
Common Stock
2015-07-24
4
X
0
10383
1.32
A
5627777
I
See Footnotes
Common Stock
2015-07-24
4
S
0
3962
3.46
D
5623815
I
See Footnotes
Warrant (right to buy)
1.32
2015-07-24
4
X
0
1089788
0.00
D
2009-04-03
2016-04-03
Common Stock
1089788
0
I
See Footnotes
Warrant (right to buy)
1.32
2015-07-24
4
X
0
544893
0.00
D
2009-10-03
2016-10-03
Common Stock
544893
0
I
See Footnotes
Warrant (right to buy)
1.32
2015-07-24
4
X
0
20766
0.00
D
2009-04-03
2016-04-03
Common Stock
20766
0
I
See Footnotes
Warrant (right to buy)
1.32
2015-07-24
4
X
0
10383
0.00
D
2009-10-03
2016-10-03
Common Stock
10383
0
I
See Footnotes
Bay City Capital LLC, a Delaware limited liability company ("BCC"), Bay City Capital Management V LLC, a Delaware limited liability company ("Management V"), 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") are deemed to be a "group" for the purposes of Section 13(d) under the Securities Exchange Act of 1934. Management V is the general partner of Fund V and 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 by Fund V and Co-Investment V.
These securities are held by Fund V.
On July 27, 2015, Fund V exercised a warrant to purchase 1,089,788 shares of Sunesis Pharmaceuticals Inc. ("Sunesis") common stock for $1.32 a share. Fund V paid the exercise price on a cashless basis, resulting in Sunesis withholding of 415,877 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 673,911 shares.
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.
On July 27,2015, Fund V exercised a warrant to purchase 544,893 shares of Sunesis common stock for $1.32 a share. Fund V paid the exercise price on a cashless basis, resulting in Sunesis withholding of 207,938 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 336,955 shares.
These securities are held by Co-Investment V.
On July 27, 2015, Co-Investment V exercised a warrant to purchase 20,766 shares of Sunesis common stock for $1.32 a share. Co-Investment V paid the exercise price on a cashless basis, resulting in Sunesis withholding of 7,925 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 12,841 shares.
On July 27, 2015, Co-Investment V exercised a warrant to purchase 10,383 shares of Sunesis common stock for $1.32 a share. Co-Investment V paid the exercise price on a cashless basis, resulting in Sunesis withholding of 3,962 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 6,421 shares.
Signed by Fred Craves, Managing Director of Bay City Capital LLC for itself; for and on behalf of Bay City Capital Management V LLC in its capacity as manager thereof; and for and on behalf of Bay City Capital Fund V, L.P. and Bay City Capital Fund V Co-Investment Fund, L.P. in its capacity as manager of Bay City Capital Management V LLC, the general partner of Bay City Capital Fund V, L.P. and Bay City Capital Fund V Co-Investment Fund, L.P.
/s/ Fred Craves
2015-07-28