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UNITED STATES |
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SECURITIES AND EXCHANGE COMMISSION |
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Washington, D.C. 20549 |
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SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 7)*
Threshold Pharmaceuticals, Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
885807107
(CUSIP Number)
December 31, 2012
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
o |
Rule 13d-1(b) |
o |
Rule 13d-1(c) |
x |
Rule 13d-1(d) |
*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 the disclosures provided in a prior cover page.
The information required in 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).
CUSIP No. 885807107 | |||||
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1. |
Names of Reporting Persons | |||
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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(a) |
o | ||
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(b) |
x | ||
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3. |
SEC Use Only | |||
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4. |
Citizenship or Place of Organization | |||
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Number of |
5. |
Sole Voting Power | |||
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6. |
Shared Voting Power | ||||
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7. |
Sole Dispositive Power | ||||
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8. |
Shared Dispositive Power | ||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | |||
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11. |
Percent of Class Represented by Amount in Row (9) | |||
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12. |
Type of Reporting Person (See Instructions) | |||
* See Appendix A, Note 1.
CUSIP No. 885807107 | |||||
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1. |
Names of Reporting Persons | |||
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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(a) |
o | ||
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(b) |
x | ||
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3. |
SEC Use Only | |||
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4. |
Citizenship or Place of Organization | |||
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Number of |
5. |
Sole Voting Power | |||
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6. |
Shared Voting Power | ||||
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7. |
Sole Dispositive Power | ||||
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8. |
Shared Dispositive Power | ||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | |||
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11. |
Percent of Class Represented by Amount in Row (9) | |||
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12. |
Type of Reporting Person (See Instructions) | |||
CUSIP No. 885807107 | |||||
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1. |
Names of Reporting Persons | |||
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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(a) |
o | ||
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(b) |
x | ||
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3. |
SEC Use Only | |||
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4. |
Citizenship or Place of Organization | |||
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Number of |
5. |
Sole Voting Power | |||
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6. |
Shared Voting Power | ||||
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7. |
Sole Dispositive Power | ||||
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8. |
Shared Dispositive Power | ||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | |||
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11. |
Percent of Class Represented by Amount in Row (9) | |||
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12. |
Type of Reporting Person (See Instructions) | |||
CUSIP No. 885807107 | |||||
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1. |
Names of Reporting Persons | |||
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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(a) |
o | ||
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(b) |
x | ||
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3. |
SEC Use Only | |||
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4. |
Citizenship or Place of Organization | |||
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Number of |
5. |
Sole Voting Power | |||
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6. |
Shared Voting Power | ||||
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7. |
Sole Dispositive Power | ||||
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8. |
Shared Dispositive Power | ||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | |||
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11. |
Percent of Class Represented by Amount in Row (9) | |||
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12. |
Type of Reporting Person (See Instructions) | |||
* See Appendix A, Note 3.
** Comprised of shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) owned by Sutter Hill Ventures, A California Limited Partnership, Sutter Hill Entrepreneurs Fund (AI), L.P. and Sutter Hill Entrepreneurs Fund (QP), L.P. See Appendix A.
CUSIP No. 885807107 | |||||
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1. |
Names of Reporting Persons | |||
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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(a) |
o | ||
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(b) |
x | ||
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3. |
SEC Use Only | |||
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4. |
Citizenship or Place of Organization | |||
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Number of |
5. |
Sole Voting Power | |||
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6. |
Shared Voting Power | ||||
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7. |
Sole Dispositive Power | ||||
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8. |
Shared Dispositive Power | ||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | |||
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11. |
Percent of Class Represented by Amount in Row (9) | |||
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12. |
Type of Reporting Person (See Instructions) | |||
* See Appendix A, Note 4.
** Comprised of shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) owned by Sutter Hill Ventures, A California Limited Partnership, Sutter Hill Entrepreneurs Fund (AI), L.P. and Sutter Hill Entrepreneurs Fund (QP), L.P. See Appendix A.
CUSIP No. 885807107 | |||||
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1. |
Names of Reporting Persons | |||
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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(a) |
o | ||
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(b) |
x | ||
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3. |
SEC Use Only | |||
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4. |
Citizenship or Place of Organization | |||
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Number of |
5. |
Sole Voting Power | |||
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6. |
Shared Voting Power | ||||
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7. |
Sole Dispositive Power | ||||
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8. |
Shared Dispositive Power | ||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | |||
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11. |
Percent of Class Represented by Amount in Row (9) | |||
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12. |
Type of Reporting Person (See Instructions) | |||
* See Appendix A, Note 5.
** Comprised of shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) owned by Sutter Hill Ventures, A California Limited Partnership, Sutter Hill Entrepreneurs Fund (AI), L.P. and Sutter Hill Entrepreneurs Fund (QP), L.P. See Appendix A.
CUSIP No. 885807107 | |||||
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1. |
Names of Reporting Persons | |||
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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(a) |
o | ||
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(b) |
x | ||
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3. |
SEC Use Only | |||
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4. |
Citizenship or Place of Organization | |||
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Number of |
5. |
Sole Voting Power | |||
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6. |
Shared Voting Power | ||||
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7. |
Sole Dispositive Power | ||||
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8. |
Shared Dispositive Power | ||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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|
10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | |||
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11. |
Percent of Class Represented by Amount in Row (9) | |||
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12. |
Type of Reporting Person (See Instructions) | |||
* See Appendix A, Note 6.
** Comprised of shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) owned by Sutter Hill Ventures, A California Limited Partnership, Sutter Hill Entrepreneurs Fund (AI), L.P. and Sutter Hill Entrepreneurs Fund (QP), L.P. See Appendix A.
CUSIP No. 885807107 | |||||
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1. |
Names of Reporting Persons | |||
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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(a) |
o | ||
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(b) |
x | ||
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3. |
SEC Use Only | |||
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4. |
Citizenship or Place of Organization | |||
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Number of |
5. |
Sole Voting Power | |||
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6. |
Shared Voting Power | ||||
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7. |
Sole Dispositive Power | ||||
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8. |
Shared Dispositive Power | ||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | |||
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11. |
Percent of Class Represented by Amount in Row (9) | |||
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12. |
Type of Reporting Person (See Instructions) | |||
* See Appendix A, Note 7.
** Comprised of shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) owned by Sutter Hill Ventures, A California Limited Partnership, Sutter Hill Entrepreneurs Fund (AI), L.P. and Sutter Hill Entrepreneurs Fund (QP), L.P. See Appendix A.
CUSIP No. 885807107 | |||||
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1. |
Names of Reporting Persons | |||
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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(a) |
o | ||
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(b) |
x | ||
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3. |
SEC Use Only | |||
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4. |
Citizenship or Place of Organization | |||
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Number of |
5. |
Sole Voting Power | |||
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6. |
Shared Voting Power | ||||
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7. |
Sole Dispositive Power | ||||
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8. |
Shared Dispositive Power | ||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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|
10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | |||
| |||||
|
11. |
Percent of Class Represented by Amount in Row (9) | |||
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|
12. |
Type of Reporting Person (See Instructions) | |||
* See Appendix A, Note 8.
** Comprised of shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) owned by Sutter Hill Ventures, A California Limited Partnership, Sutter Hill Entrepreneurs Fund (AI), L.P. and Sutter Hill Entrepreneurs Fund (QP), L.P. See Appendix A.
CUSIP No. 885807107 | |||||
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1. |
Names of Reporting Persons | |||
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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(a) |
o | ||
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(b) |
x | ||
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3. |
SEC Use Only | |||
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4. |
Citizenship or Place of Organization | |||
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Number of |
5. |
Sole Voting Power | |||
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6. |
Shared Voting Power | ||||
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7. |
Sole Dispositive Power | ||||
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8. |
Shared Dispositive Power | ||||
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|
9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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|
10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | |||
| |||||
|
11. |
Percent of Class Represented by Amount in Row (9) | |||
| |||||
|
12. |
Type of Reporting Person (See Instructions) | |||
* See Appendix A, Note 9.
** Comprised of shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) owned by Sutter Hill Ventures, A California Limited Partnership, Sutter Hill Entrepreneurs Fund (AI), L.P. and Sutter Hill Entrepreneurs Fund (QP), L.P. See Appendix A.
CUSIP No. 885807107 | |||||
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1. |
Names of Reporting Persons | |||
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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(a) |
o | ||
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(b) |
x | ||
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3. |
SEC Use Only | |||
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4. |
Citizenship or Place of Organization | |||
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Number of |
5. |
Sole Voting Power | |||
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6. |
Shared Voting Power | ||||
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7. |
Sole Dispositive Power | ||||
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8. |
Shared Dispositive Power | ||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | |||
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11. |
Percent of Class Represented by Amount in Row (9) | |||
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12. |
Type of Reporting Person (See Instructions) | |||
* See Appendix A, Note 10.
** Comprised of shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) owned by Sutter Hill Ventures, A California Limited Partnership, Sutter Hill Entrepreneurs Fund (AI), L.P. and Sutter Hill Entrepreneurs Fund (QP), L.P. See Appendix A.
CUSIP No. 885807107 | |||||
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1. |
Names of Reporting Persons | |||
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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(a) |
o | ||
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(b) |
x | ||
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3. |
SEC Use Only | |||
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4. |
Citizenship or Place of Organization | |||
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Number of |
5. |
Sole Voting Power | |||
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6. |
Shared Voting Power | ||||
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7. |
Sole Dispositive Power | ||||
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8. |
Shared Dispositive Power | ||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | |||
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11. |
Percent of Class Represented by Amount in Row (9) | |||
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12. |
Type of Reporting Person (See Instructions) | |||
* See Appendix A, Note 11.
** Comprised of shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) owned by Sutter Hill Ventures, A California Limited Partnership, Sutter Hill Entrepreneurs Fund (AI), L.P. and Sutter Hill Entrepreneurs Fund (QP), L.P. See Appendix A.
CUSIP No. 885807107 | |||||
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1. |
Names of Reporting Persons | |||
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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(a) |
o | ||
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(b) |
x | ||
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3. |
SEC Use Only | |||
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4. |
Citizenship or Place of Organization | |||
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Number of |
5. |
Sole Voting Power | |||
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6. |
Shared Voting Power | ||||
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7. |
Sole Dispositive Power | ||||
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8. |
Shared Dispositive Power | ||||
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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|
10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | |||
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11. |
Percent of Class Represented by Amount in Row (9) | |||
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|
12. |
Type of Reporting Person (See Instructions) | |||
* See Appendix A, Note 12.
** Comprised of shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) owned by Sutter Hill Ventures, A California Limited Partnership, Sutter Hill Entrepreneurs Fund (AI), L.P. and Sutter Hill Entrepreneurs Fund (QP), L.P. See Appendix A.
CUSIP No. 885807107 | |||||
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1. |
Names of Reporting Persons | |||
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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(a) |
o | ||
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(b) |
x | ||
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3. |
SEC Use Only | |||
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4. |
Citizenship or Place of Organization | |||
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Number of |
5. |
Sole Voting Power | |||
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6. |
Shared Voting Power | ||||
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7. |
Sole Dispositive Power | ||||
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8. |
Shared Dispositive Power | ||||
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|
9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
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|
10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | |||
| |||||
|
11. |
Percent of Class Represented by Amount in Row (9) | |||
| |||||
|
12. |
Type of Reporting Person (See Instructions) | |||
** Comprised of shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) owned by Sutter Hill Ventures, A California Limited Partnership, Sutter Hill Entrepreneurs Fund (AI), L.P. and Sutter Hill Entrepreneurs Fund (QP), L.P. See Appendix A.
CUSIP No. 885807107 | |||||
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1. |
Names of Reporting Persons | |||
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2. |
Check the Appropriate Box if a Member of a Group (See Instructions) | |||
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(a) |
o | ||
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(b) |
x | ||
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3. |
SEC Use Only | |||
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4. |
Citizenship or Place of Organization | |||
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Number of |
5. |
Sole Voting Power | |||
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6. |
Shared Voting Power | ||||
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7. |
Sole Dispositive Power | ||||
| |||||
8. |
Shared Dispositive Power | ||||
| |||||
|
9. |
Aggregate Amount Beneficially Owned by Each Reporting Person | |||
| |||||
|
10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o | |||
| |||||
|
11. |
Percent of Class Represented by Amount in Row (9) | |||
| |||||
|
12. |
Type of Reporting Person (See Instructions) | |||
** Comprised of shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) owned by Sutter Hill Ventures, A California Limited Partnership, Sutter Hill Entrepreneurs Fund (AI), L.P. and Sutter Hill Entrepreneurs Fund (QP), L.P. See Appendix A.
Item 1. | |||
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(a) |
Name of Issuer | |
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(b) |
Address of Issuers Principal Executive Offices | |
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Item 2. | |||
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(a) |
Name of Person Filing | |
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(b) |
Address of Principal Business Office or, if none, Residence | |
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(c) |
Citizenship | |
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(d) |
Title of Class of Securities | |
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(e) |
CUSIP Number | |
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Item 3. |
If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: | ||
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(a) |
o |
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). |
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(b) |
o |
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). |
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(c) |
o |
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). |
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(d) |
o |
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). |
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(e) |
o |
An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E); |
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(f) |
o |
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F); |
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(g) |
o |
A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G); |
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(h) |
o |
A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
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(i) |
o |
A church plan that is excluded from the definition of an investment company under section 3I(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); |
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(j) |
o |
Group, in accordance with §240.13d-1(b)(1)(ii)(J). |
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N/A |
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Item 4. |
Ownership | ||
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. | |||
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(a) |
Amount beneficially owned: See Appendix A, which is hereby incorporated by reference and related pages 2 to 16 | |
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(b) |
Percent of class: See Appendix A, which is hereby incorporated by reference and related pages 2 to 16 | |
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(c) |
Number of shares as to which the person has:
| |
|
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(i) |
Sole power to vote or to direct the vote *** |
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(ii) |
Shared power to vote or to direct the vote *** |
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(iii) |
Sole power to dispose or to direct the disposition of *** |
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(iv) |
Shared power to dispose or to direct the disposition of *** |
*** See Appendix A, which is hereby incorporated by reference and related pages 2 to 16. Messrs. Anderson, Baker, Younger, Coxe, Gaither, White, Bird, Sweet, Sheehan, Speiser, Dyckerhoff and Pullara are Managing Directors of the General Partner of Sutter Hill Ventures, A California Limited Partnership, Sutter Hill Entrepreneurs Fund (AI), L.P. and Sutter Hill Entrepreneurs Fund (QP), L.P., and as such share voting and dispositive power over the shares held by the partnerships.
Item 5. |
Ownership of Five Percent or Less of a Class |
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following o. | |
N/A | |
Item 6. |
Ownership of More than Five Percent on Behalf of Another Person |
N/A | |
Item 7. |
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person |
N/A | |
Item 8. |
Identification and Classification of Members of the Group |
See Appendix A | |
Item 9. |
Notice of Dissolution of Group |
N/A |
Item 10. |
Certification |
N/A |
Signature
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
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2/8/2013 |
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Sutter Hill Ventures, A California Limited Partnership |
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/s/ Jeffrey W. Bird |
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Signature |
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Jeffrey W. Bird |
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Managing Director of the General Partner |
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Name/Title |
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Sutter Hill Entrepreneurs Fund (AI), L.P. |
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/s/ Jeffrey W. Bird |
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Signature |
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Jeffrey W. Bird |
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Managing Director of the General Partner |
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Name/Title |
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Sutter Hill Entrepreneurs Fund (QP), L.P. |
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/s/ Jeffrey W. Bird |
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Signature |
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Jeffrey W. Bird Managing Director of the General Partner |
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Name/Title |
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/s/ David L. Anderson |
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Signature |
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/s/ G. Leonard Baker, Jr. |
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Signature |
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/s/ William H. Younger, Jr. |
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Signature |
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/s/ Tench Coxe |
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Signature |
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/s/ James C. Gaither |
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Signature |
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/s/ James N. White |
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Signature |
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/s/ Jeffrey W. Bird |
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Signature |
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/s/ David E. Sweet |
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Signature |
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/s/ Andrew T. Sheehan |
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Signature |
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/s/ Michael L. Speiser |
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Signature |
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/s/ Stefan A. Dyckerhoff |
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Signature |
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/s/ Samuel J. Pullara III |
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Signature |
APPENDIX A TO SCHEDULE 13G THRESHOLD PHARMACEUTICALS, INC.
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Aggregate Number of |
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Shares Beneficially Owned |
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% of |
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Name of Originator |
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Individual |
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Aggregate |
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Total Shares |
|
|
|
|
|
|
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|
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Sutter Hill Ventures, A California Limited Partnership |
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5,454,602 |
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Note 1 |
|
|
|
|
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9.4 |
% |
|
|
|
|
|
|
|
|
|
|
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Sutter Hill Entrepreneurs Fund (AI), L.P. |
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3,960 |
|
|
|
|
|
|
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0.0 |
% |
|
|
|
|
|
|
|
|
|
|
|
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Sutter Hill Entrepreneurs Fund (QP), L.P. |
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10,028 |
|
|
|
|
|
|
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0.0 |
% |
|
|
|
|
|
|
|
|
|
|
|
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Total of Sutter Hill Funds |
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5,468,590 |
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
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David L. Anderson |
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150,558 |
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Note 3 |
|
|
|
|
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0.3 |
% |
|
|
|
|
|
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5,619,148 |
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Note 2 |
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9.7 |
% |
|
|
|
|
|
|
|
|
|
|
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G. Leonard Baker, Jr. |
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237,791 |
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Note 4 |
|
|
|
|
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0.4 |
% |
|
|
|
|
|
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5,706,381 |
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Note 2 |
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9.8 |
% |
|
|
|
|
|
|
|
|
|
|
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William H. Younger, Jr. |
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321,958 |
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Note 5 |
|
|
|
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0.6 |
% |
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|
|
|
|
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5,790,548 |
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Note 2 |
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10.0 |
% |
|
|
|
|
|
|
|
|
|
|
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Tench Coxe |
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920,933 |
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Note 6 |
|
|
|
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1.6 |
% |
|
|
|
|
|
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6,389,523 |
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Note 2 |
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11.0 |
% |
|
|
|
|
|
|
|
|
|
|
|
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James C. Gaither |
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83,958 |
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Note 7 |
|
|
|
|
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0.1 |
% |
|
|
|
|
|
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5,552,548 |
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Note 2 |
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9.6 |
% |
|
|
|
|
|
|
|
|
|
|
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James N. White |
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310,884 |
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Note 8 |
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|
|
|
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0.6 |
% |
|
|
|
|
|
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5,779,474 |
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Note 2 |
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10.0 |
% |
|
|
|
|
|
|
|
|
|
|
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Jeffrey W. Bird |
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347,705 |
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Note 9 |
|
|
|
|
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0.6 |
% |
|
|
|
|
|
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5,816,295 |
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Note 2 |
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10.0 |
% |
|
|
|
|
|
|
|
|
|
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David E. Sweet |
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58,782 |
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Note 10 |
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|
|
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0.1 |
% |
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|
|
|
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5,527,372 |
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Note 2 |
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9.5 |
% |
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|
|
|
|
|
|
|
|
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Andrew T. Sheehan |
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90,743 |
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Note 11 |
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|
|
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0.2 |
% |
|
|
|
|
|
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5,559,333 |
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Note 2 |
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9.6 |
% |
|
|
|
|
|
|
|
|
|
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Michael L. Speiser |
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13,746 |
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Note 12 |
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|
|
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0.0 |
% |
|
|
|
|
|
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5,482,336 |
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Note 2 |
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9.5 |
% |
|
|
|
|
|
|
|
|
|
|
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Stefan A. Dyckerhoff |
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0 |
|
|
|
|
|
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0.0 |
% |
|
|
|
|
|
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5,468,590 |
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Note 2 |
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9.4 |
% |
|
|
|
|
|
|
|
|
|
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Samuel J. Pullara III |
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0 |
|
|
|
|
|
|
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0.0 |
% |
|
|
|
|
|
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5,468,590 |
|
Note 2 |
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9.4 |
% |
The address for all of the above is: 755 Page Mill Road, Suite A-200, Palo Alto, CA 94304
The partnerships are organized in California. The individuals are all U.S. citizens and residents with the exception of Mr. Dyckerhoff who is a German citizen and U.S. permanent resident.
None of the above has been convicted in any criminal proceedings nor have they been subject to judgments, decrees, or final orders enjoining future violations of Federal or State securities laws.
All of the parties are individuals or entities in the venture capital business.
Note 1: Includes 1,470,957 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12.
Note 2: Includes individual shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) plus all shares (and shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) held by the following partnerships in which the reporting person is a Managing Director of the General Partner: Sutter Hill Ventures, A California Limited Partnership, Sutter Hill Entrepreneurs Fund (AI), L.P. and Sutter Hill Entrepreneurs Fund (QP), L.P.
Note 3: Comprised of 17,310 shares (including 2,825 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) held in The Anderson Living Trust of which the reporting person is the trustee, 86,483 shares (including 22,284 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) held by a retirement trust for the benefit of the reporting person and 46,765 shares (including 12,171 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) held by Anvest, L.P. of which the reporting person is the trustee of a trust which is the General Partner.
Note 4: Comprised of 151,652 shares (including 37,584 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) held in The Baker Revocable Trust of which the reporting person is a trustee and 86,139 shares (including 22,036 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) held by Saunders Holdings, L.P. of which the reporting person is a trustee of a trust which is the General Partner.
Note 5: Comprised of 109,637 shares (including 24,666 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) held in The William H. Younger, Jr. Revocable Trust of which the reporting person is the trustee, 133,258 shares (including 46,116 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) held by a retirement trust for the benefit of the reporting person and 79,063 shares (including 22,502 shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/12) held by Yovest, L.P. of which the reporting person is the trustee of a trust which is the General Partner.
Note 6: Comprised of 348,303 shares (including 144,982 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) held in The Coxe Revocable Trust of which the reporting person is a trustee, 215,848 shares (including 60,758 shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/12) held by a retirement trust for the benefit of the reporting person and 356,782 shares (including 36,706 shares of common stock issuable upon exercise of a warrant that is exercisable within 60 days after 12/31/12) held by Rooster Partners, L.P. of which the reporting person is a trustee of a trust which is the General Partner.
Note 7: Comprised of 58,225 shares (including 14,505 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) held in The Gaither Revocable Trust of which the reporting person is the trustee and 25,733 shares (including 13,840 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) held by Tallack Partners, L.P. of which the reporting person is the trustee of a trust which is the General Partner.
Note 8: Comprised of 306,808 shares (including 83,996 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) held in The White Revocable Trust of which the reporting person is a trustee and 4,076 shares held by a retirement trust for the benefit of the reporting person.
Note 9: Comprised of 281,786 shares (including 73,764 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) held in the Jeffrey W. and Christina R. Bird Trust of which the reporting person is a trustee, 919 shares held in a Roth IRA for the benefit of the reporting person and 65,000 shares of directors options that are fully vested and exercisable within 60 days after 12/31/12.
Note 10: Comprised of 12,723 shares (including 2,810 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) held in The David and Robin Sweet Living Trust of which the reporting person is a trustee and 46,059 shares (including 11,957 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) held by a retirement trust for the benefit of the reporting person.
Note 11: Comprised of 90,743 shares (including 25,603 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) held in the Sheehan 2003 Trust of which the reporting person is a trustee.
Note 12: Comprised of 13,746 shares (including 3,707 shares of common stock issuable upon exercise of warrants that are exercisable within 60 days after 12/31/12) held in the Speiser Trust Agreement of which the reporting person is a trustee.