FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Anacor Pharmaceuticals Inc [ ANAC ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 11/30/2010 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 11/30/2010 | C | 507,398 | A | (1) | 507,398 | I | See Footnote(3) | ||
Common Stock | 11/30/2010 | C | 527,469 | A | (2) | 1,034,867 | I | See Footnote(4) | ||
Common Stock | 11/30/2010 | C | 1,752,807 | A | (1) | 2,787,674 | I | See Footnote(5) | ||
Common Stock | 11/30/2010 | C | 212,514 | A | (1) | 3,000,188 | I | See Footnote(6) | ||
Common Stock | 11/30/2010 | C | 221,235 | A | (1) | 3,221,423 | I | See Footnote(7) | ||
Common Stock | 11/30/2010 | P | 2,400,000 | A | $5 | 5,621,423 | I | See Footnote(8) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series A-1 Preferred Stock | (1) | 11/30/2010 | C | 507,398 | (1) | (1) | Common Stock | 507,398 | $0 | 0 | I | See Footnote(3) | |||
Series B Preferred Stock | (2) | 11/30/2010 | C | 400,720 | (2) | (2) | Common Stock | 527,469 | $0 | 0 | I | See Footnote(4) | |||
Series C Preferred Stock | (1) | 11/30/2010 | C | 1,752,807 | (1) | (1) | Common Stock | 1,752,807 | $0 | 0 | I | See Footnote(5) | |||
Series D Preferred Stock | (1) | 11/30/2010 | C | 212,514 | (1) | (1) | Common Stock | 212,514 | $0 | 0 | I | See Footnote(6) | |||
Series E Preferred Stock | (1) | 11/30/2010 | C | 221,235 | (1) | (1) | Common Stock | 221,235 | $0 | 0 | I | See Footnote(7) |
Explanation of Responses: |
1. The Series A-1 Preferred Stock, Series C Preferred Stock, Series D Preferred Stock and Series E Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date. |
2. The Series B Preferred Stock converted into Common Stock on the basis of 1.316 shares of Common Stock for one share of Series B Preferred Stock and had no expiration date. |
3. Consists of 63,531 shares held by Rho Ventures IV, L.P. ("RV IV"), 155,873 shares held by Rho Ventures IV GmbH & Co. Beteilgungs KG ("RV KG"), 149,569 shares held by Rho Ventures IV (QP), L.P. ("RV QP"), and 138,425 shares held by Rho Management Trust I ("RMT I"). The reporting person is a managing member of the general partner of RV IV and RV QP, a managing director of the general partner of RV KG and a managing partner of the investment advisor to RMT I. The reporting person disclaims beneficial ownership of the reportable securities and this report shall not be deemed an admission that such filer is the beneficial owner of such securities, except to the extent of his pecuniary interest therein. |
4. Consists of 66,044 shares held by RV IV, 162,038 shares held by RV KG, 155,486 shares held by RV QP, and 143,901 shares held by RMT I. The reporting person disclaims beneficial ownership of the reportable securities and this report shall not be deemed an admission that such filer is the beneficial owner of such securities, except to the extent of his pecuniary interest therein. |
5. Consists of 219,469 shares held by RV IV, 538,462 shares held by RV KG, 516,687 shares held by RV QP, and 478,189 shares held by RMT I. The reporting person disclaims beneficial ownership of the reportable securities and this report shall not be deemed an admission that such filer is the beneficial owner of such securities, except to the extent of his pecuniary interest therein. |
6. Consists of 26,609 shares held by RV IV, 65,284 shares held by RV KG, 62,644 shares held by RV QP, and 57,977 shares held by RMT I. The reporting person disclaims beneficial ownership of the reportable securities and this report shall not be deemed an admission that such filer is the beneficial owner of such securities, except to the extent of his pecuniary interest therein. |
7. Consists of 27,701 shares held by RV IV, 67,963 shares held by RV KG, 65,215 shares held by RV QP, and 60,356 shares held by RMT I. The reporting person disclaims beneficial ownership of the reportable securities and this report shall not be deemed an admission that such filer is the beneficial owner of such securities, except to the extent of his pecuniary interest therein. |
8. Consists of 300,505 shares held by RV IV, 737,280 shares held by RV KG, 707,463 shares held by RV QP, and 654,752 shares held by RMT I. The reporting person disclaims beneficial ownership of the reportable securities and this report shall not be deemed an admission that such filer is the beneficial owner of such securities, except to the extent of his pecuniary interest therein. |
Lucy O. Day, as power of attorney | 11/30/2010 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |