0001012975-17-000725.txt : 20170927 0001012975-17-000725.hdr.sgml : 20170927 20170927183102 ACCESSION NUMBER: 0001012975-17-000725 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170919 FILED AS OF DATE: 20170927 DATE AS OF CHANGE: 20170927 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Birner Hubert CENTRAL INDEX KEY: 0001398598 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33004 FILM NUMBER: 171105208 MAIL ADDRESS: STREET 1: MAXIMILIANSTRASSE 35/EINGANG C CITY: MUNCHEN STATE: 2M ZIP: 80539 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Fischer Stefan CENTRAL INDEX KEY: 0001398596 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33004 FILM NUMBER: 171105206 MAIL ADDRESS: STREET 1: MAXIMILIANSTRASSE 35/EINGANG C CITY: MUNCHEN STATE: 2M ZIP: 80539 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Leatt Gary CENTRAL INDEX KEY: 0001718117 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33004 FILM NUMBER: 171105203 MAIL ADDRESS: STREET 1: AZTEC GROUP HOUSE STREET 2: 11-15 SEATON PLACE CITY: ST. HELIER STATE: Y9 ZIP: JE4 0QH REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wanless Mark CENTRAL INDEX KEY: 0001718086 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33004 FILM NUMBER: 171105204 MAIL ADDRESS: STREET 1: AZTEC GROUP HOUSE STREET 2: 11-15 SEATON PLACE CITY: ST. HELIER STATE: Y9 ZIP: JE4 0QH REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHUHSLER HELMUT CENTRAL INDEX KEY: 0001133921 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33004 FILM NUMBER: 171105205 MAIL ADDRESS: STREET 1: C/O TVM TECHNO VENTURE MANAGEMENT STREET 2: MAXIMILLIANSTR. 35, ENTRACE C D- CITY: MUNICH STATE: 2M ZIP: 80539 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Marengere Luc CENTRAL INDEX KEY: 0001639971 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33004 FILM NUMBER: 171105207 MAIL ADDRESS: STREET 1: 15 NEW ENGLAND EXECUTIVE PARK CITY: BURLINGTON STATE: MA ZIP: 01803 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TVM Life Science Ventures VI LP CENTRAL INDEX KEY: 0001318584 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33004 FILM NUMBER: 171105210 BUSINESS ADDRESS: STREET 1: PO BOX 309 UGLAND HOUSE CITY: CAYMAN ISLAND STATE: A1 ZIP: 00000 MAIL ADDRESS: STREET 1: PO BOX 309 UGLAND HOUSE CITY: CAYMAN ISLAND STATE: A1 ZIP: 00000 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TVM Life Science Ventures VI GmbH & Co KG CENTRAL INDEX KEY: 0001599744 STATE OF INCORPORATION: 2M FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33004 FILM NUMBER: 171105211 BUSINESS ADDRESS: STREET 1: C/O TVM CAPITAL GROUP STREET 2: OTTOSTRASSE 4 CITY: MUNICH STATE: 2M ZIP: 80333 BUSINESS PHONE: 49 89 998 992-0 MAIL ADDRESS: STREET 1: C/O TVM CAPITAL GROUP STREET 2: OTTOSTRASSE 4 CITY: MUNICH STATE: 2M ZIP: 80333 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TVM Life Science Ventures VII L.P. CENTRAL INDEX KEY: 0001640880 STATE OF INCORPORATION: XX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33004 FILM NUMBER: 171105209 BUSINESS ADDRESS: STREET 1: 204, RUE NOTRE-DAME OUEST, BUREAU 350 CITY: MONTREAL STATE: A8 ZIP: H2Y 1T3 BUSINESS PHONE: 514-931-4111 MAIL ADDRESS: STREET 1: 204, RUE NOTRE-DAME OUEST, BUREAU 350 CITY: MONTREAL STATE: A8 ZIP: H2Y 1T3 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Acer Therapeutics Inc. CENTRAL INDEX KEY: 0001069308 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 760333165 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 222 THIRD STREET STREET 2: SUITE #2240 CITY: CAMBRIDGE STATE: MA ZIP: 02142 BUSINESS PHONE: (844) 902-6100 MAIL ADDRESS: STREET 1: 222 THIRD STREET STREET 2: SUITE #2240 CITY: CAMBRIDGE STATE: MA ZIP: 02142 FORMER COMPANY: FORMER CONFORMED NAME: Opexa Therapeutics, Inc. DATE OF NAME CHANGE: 20060616 FORMER COMPANY: FORMER CONFORMED NAME: PharmaFrontiers Corp. DATE OF NAME CHANGE: 20051011 FORMER COMPANY: FORMER CONFORMED NAME: PHARMAFRONTIERS CORP DATE OF NAME CHANGE: 20040816 3 1 edgar.xml PRIMARY DOCUMENT X0206 3 2017-09-19 0 0001069308 Acer Therapeutics Inc. ACER 0001599744 TVM Life Science Ventures VI GmbH & Co KG C/O TVM CAPITAL GROUP OTTOSTRASSE 4 MUNICH 2M 80333 GERMANY 1 0 1 0 0001318584 TVM Life Science Ventures VI LP C/O TVM CAPITAL GROUP OTTOSTRASSE 4 MUNICH 2M 80333 GERMANY 1 0 1 0 0001640880 TVM Life Science Ventures VII L.P. C/O TVM CAPITAL GROUP 204, RUE NOTRE-DAME OUEST, BUREAU 350 MONTREAL A8 H2Y 1T3 QUEBEC, CANADA 1 0 1 0 0001398598 Birner Hubert C/O TVM CAPITAL GROUP OTTOSTRASSE 4 MUNICH 2M 80333 GERMANY 1 0 1 0 0001639971 Marengere Luc C/O TVM CAPITAL GROUP OTTOSTRASSE 4 MUNICH 2M 80333 GERMANY 1 0 1 0 0001398596 Fischer Stefan C/O TVM CAPITAL GROUP OTTOSTRASSE 4 MUNICH 2M 80333 GERMANY 0 0 1 0 0001133921 SCHUHSLER HELMUT C/O TVM CAPITAL GROUP OTTOSTRASSE 4 MUNICH 2M 80333 GERMANY 0 0 1 0 0001718086 Wanless Mark C/O TVM CAPITAL GROUP OTTOSTRASSE 4 MUNICH 2M 80333 GERMANY 0 0 1 0 0001718117 Leatt Gary C/O TVM CAPITAL GROUP OTTOSTRASSE 4 MUNICH 2M 80333 GERMANY 0 0 1 0 Common Stock 663782 I See Footnote Common Stock 227485 I See Footnote Common Stock 1172709 I See Footnote These shares were acquired pursuant to an Agreement and Plan of Merger, dated as of June 30, 2017 (the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Acer Therapeutics Inc. ("Acer"). Pursuant to the Merger Agreement, at the Effective Time (as defined in the Merger Agreement) of the closing of the Mergers contemplated thereby, the then outstanding shares of Acer's common stock were cancelled and were automatically converted into the right to receive 1 share of the Issuer's common stock for each share of Acer common stock then held by the Reporting Persons. The shares are directly held by TVM Life Science Ventures VI GmbH & Co. KG ("TVM VI"). Hubert Birner ("Birner"), Stefan Fischer ("Fischer"), and Helmut Schuhsler ("Schuhsler") are members of the investment committee of TVM Life Science Ventures Management VI L.P. ("TVM VI Management"), a special limited partner of TVM VI, with voting and dispositive power over the shares held by TVM VI. TVM VI Management, Birner, Schuhsler and Fischer each disclaim beneficial ownership of the shares held by TVM VI, except to the extent of any pecuniary interest therein, if any. Birner is a director of the Issuer. The shares are directly held by TVM Life Science Ventures VI L.P. ("TVM VI LP"). Birner, Schuhsler and Fischer are members of the investment committee of TVM VI Management, a special limited partner of TVM VI LP, with voting and dispositive power over the shares held by TVM VI LP. TVM VI Management, Birner, Schuhsler and Fischer each disclaim beneficial ownership of the shares held by TVM VI LP, except to the extent of any pecuniary interest therein, if any. These shares are directly held by TVM Life Science Ventures VII L.P. ("TVM VII LP"). TVM Life Science Ventures VII (GP) Ltd. ("TVM VII GP Ltd") is the general partner of TVM VII LP. Luc Marengere ("Marengere"), Mark Wanless ("Wanless"), Gary Leatt ("Leatt"), Birner, Fischer and Schuhsler are members of the investment committee of TVM VII GP Ltd, which has voting and investment power with respect to these shares. TVM VII GP Ltd, Birner, Fischer, Schuhsler, Marengere, Wanless and Leatt each disclaim any beneficial ownership of the reported securities, except to the extent of any pecuniary interest therein, if any. Marengere is a director of the Issuer. /s/ Stefan Fischer, Director of TVM Life Science Ventures VI LLC, general partner of TVM Life Science Ventures Management VI L.P., managing limited partner of TVM Life Science Ventures VI GMBH & Co. KG 2017-09-27 /s/ Stefan Fischer, Director of TVM Life Science Ventures VI LLC, general partner of TVM Life Science Ventures Management VI L.P., managing limited partner of TVM Life Science Ventures VI L.P. 2017-09-27 /s/ Stefan Fischer, Director of TVM Life Science Ventures VII Ltd., general partner of TVM Life Science Ventures VII L.P. 2017-09-27 /s/ Stefan Fischer, Attorney in Fact for Hubert Birner 2017-09-27 /s/ Luc Marengere 2017-09-27 /s/ Stefan Fischer 2017-09-27 /s/ Stefan Fischer, Attorney in Fact for Helmut Schuhsler 2017-09-27 /s/ Mark Wanless 2017-09-27 /s/ Gary Leatt 2017-09-27 EX-24 2 tvmpoa.htm POWER OF ATTORNEY


POWER OF ATTORNEY



 KNOW ALL MEN BY THESE PRESENTS, that the undersigned hereby

constitutes and appoints Josef Moosholzer, Stefan Fischer and Sascha Berger, and each of

them, with full power to act without the others, his or her true and lawful attorney-in-fact,

with full power of substitution, to sign any and all instruments, certificates and documents

that may be necessary, desirable or appropriate to be executed on behalf of himself as an

individual or in his or her capacity as a direct or indirect general partner, director, officer or

manager of any partnership, corporation or limited liability company, pursuant to section 13

or 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and any

and all regulations promulgated thereunder, and to file the same, with all exhibits thereto,

and any other documents in connection therewith, with the Securities and Exchange

Commission, and with any other entity when and if such is mandated by the Exchange Act

or by the Financial Industry Regulatory Authority, granting unto said attorney-in-fact full

power and authority to do and perform each and every act and thing necessary, desirable or

appropriate, fully to all intents and purposes as he or she might or could do in person,

thereby ratifying and confirming all that said attorney-in-fact, or his or her substitutes, may

lawfully do or cause to be done by virtue hereof.



IN WITNESS WHEREOF, this Power of Attorney has been signed as of

 the 29th day of June, 2017.





/s/ Hubert Birner

Hubert Birner



/s/ Stefan Fischer

Stefan Fischer



/s/ Helmut Schuhsler

Helmut Schuhsler











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