0001012975-17-000726.txt : 20170927 0001012975-17-000726.hdr.sgml : 20170927 20170927183428 ACCESSION NUMBER: 0001012975-17-000726 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33004 FILM NUMBER: 171105223 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33004 FILM NUMBER: 171105221 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33004 FILM NUMBER: 171105218 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33004 FILM NUMBER: 171105219 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33004 FILM NUMBER: 171105220 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33004 FILM NUMBER: 171105222 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33004 FILM NUMBER: 171105225 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33004 FILM NUMBER: 171105226 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33004 FILM NUMBER: 171105224 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 4 1 edgar.xml PRIMARY DOCUMENT X0306 4 2017-09-19 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 0 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 2017-09-19 4 J 0 663782 A 663782 I See Footnote Common Stock 2017-09-19 4 J 0 227485 A 227485 I See Footnote Common Stock 2017-09-19 4 J 0 1172709 A 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. These shares were previously reported on a Form 3 filed by the Reporting Persons on the date of this filing. 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 (GP) 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