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