0001209191-15-061937.txt : 20150721
0001209191-15-061937.hdr.sgml : 20150721
20150721190341
ACCESSION NUMBER: 0001209191-15-061937
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150721
FILED AS OF DATE: 20150721
DATE AS OF CHANGE: 20150721
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ProNAi Therapeutics Inc
CENTRAL INDEX KEY: 0001290149
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 2150 ? 885 WEST GEORGIA STREET
CITY: VANCOUVER
STATE: A1
ZIP: V6C 3E8
BUSINESS PHONE: 604-558-6536
MAIL ADDRESS:
STREET 1: 2150 ? 885 WEST GEORGIA STREET
CITY: VANCOUVER
STATE: A1
ZIP: V6C 3E8
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Thompson Peter A.
CENTRAL INDEX KEY: 0001357522
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37490
FILM NUMBER: 15998722
MAIL ADDRESS:
STREET 1: C/O ANTHERA PHARMACEUTICALS, INC.
STREET 2: 25801 INDUSTRIAL BOULEVARD, SUITE B
CITY: HAYWARD
STATE: CA
ZIP: 94545
FORMER NAME:
FORMER CONFORMED NAME: Thompson Peter A
DATE OF NAME CHANGE: 20060327
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2015-07-21
0
0001290149
ProNAi Therapeutics Inc
DNAI
0001357522
Thompson Peter A.
C/O PRONAI THERAPEUTICS, INC.
2150 ? 885 WEST GEORGIA ST.
VANCOUVER
A1
V6C 3E8
BRITISH COLUMBIA, CANADA
1
0
0
0
Common Stock
2015-07-21
4
C
0
1725790
A
1725790
I
See Footnotes
Common Stock
2015-07-21
4
J
0
89159
5.215
A
1814949
I
See Footnotes
Common Stock
2015-07-21
4
P
0
175000
17.00
A
1989949
I
See Footnotes
Series D Preferred Stock
2015-07-21
4
C
0
1725790
0.00
D
Common Stock
1725790
0
I
See Footnotes
Each share of the issuer's Series D Preferred Stock automatically converted into 1 share of the issuer's Common Stock on July 21, 2015 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering pursuant to a registration statement on Form S-1 (File No. 333-204921) under the Securities Act of 1933, as amended, and had no expiration date.
These securities are held of record by OrbiMed Private Investments V, LP ("OPI V"). OrbiMed Capital GP V LLC ("GP V") is the sole general partner of OPI V, and OrbiMed Advisors LLC ("Advisors") is the managing member of GP V. Samuel D. Isaly ("Isaly"), a natural person, is the managing member of and owner of a controlling interest in Advisors. By virtue of such relationships, GP V, Advisors and Isaly may be deemed to have voting and investment power over the securities held by OPI V and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is an employee of Advisors.
Each of GP V, Advisors, Isaly and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report on Form 4 shall not be deemed an admission that any such entity or person, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.
Represents shares of Common Stock issued by the issuer in payment of cumulative accrued dividends.
/s/ Sukhi Jagpal as attorney-in-fact for Peter Thompson, M.D.
2015-07-21