SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
TVM Life Science Ventures VI GmbH & Co KG

(Last) (First) (Middle)
C/O TVM CAPITAL GROUP
OTTOSTRASSE 4

(Street)
MUNICH 2M 80333

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Acer Therapeutics Inc. [ ACER ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
12/12/2017
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 12/12/2017 P 62,062 A $12 725,844 I See Footnote(1)
Common Stock 12/12/2017 P 21,271 A $12 248,756 I See Footnote(2)
Common Stock 12/12/2017 P 250,000 A $12 1,422,709 I See Footnote(3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
1. Name and Address of Reporting Person*
TVM Life Science Ventures VI GmbH & Co KG

(Last) (First) (Middle)
C/O TVM CAPITAL GROUP
OTTOSTRASSE 4

(Street)
MUNICH 2M 80333

(City) (State) (Zip)
1. Name and Address of Reporting Person*
TVM Life Science Ventures VI LP

(Last) (First) (Middle)
C/O TVM CAPITAL GROUP
OTTOSTRASSE 4

(Street)
MUNICH 2M 80333

(City) (State) (Zip)
1. Name and Address of Reporting Person*
TVM Life Science Ventures VII L.P.

(Last) (First) (Middle)
C/O TVM CAPITAL GROUP
204, RUE NOTRE-DAME OUEST, BUREAU 350

(Street)
MONTREAL A8 H2Y 1T3

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Birner Hubert

(Last) (First) (Middle)
C/O TVM CAPITAL GROUP
OTTOSTRASSE 4

(Street)
MUNICH 2M 80333

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Marengere Luc

(Last) (First) (Middle)
C/O TVM CAPITAL GROUP
OTTOSTRASSE 4

(Street)
MUNICH 2M 80333

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Fischer Stefan

(Last) (First) (Middle)
C/O TVM CAPITAL GROUP
OTTOSTRASSE 4

(Street)
MUNICH 2M 80333

(City) (State) (Zip)
1. Name and Address of Reporting Person*
SCHUHSLER HELMUT

(Last) (First) (Middle)
C/O TVM CAPITAL GROUP
OTTOSTRASSE 4

(Street)
MUNICH 2M 80333

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Wanless Mark

(Last) (First) (Middle)
C/O TVM CAPITAL GROUP
OTTOSTRASSE 4

(Street)
MUNICH 2M 80333

(City) (State) (Zip)
1. Name and Address of Reporting Person*
Leatt Gary

(Last) (First) (Middle)
C/O TVM CAPITAL GROUP
OTTOSTRASSE 4

(Street)
MUNICH 2M 80333

(City) (State) (Zip)
Explanation of Responses:
1. 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.
2. 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.
3. 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.
Remarks:
/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 01/12/2018
/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. 01/12/2018
/s/ Stefan Fischer, Director of TVM Life Science Ventures VII (GP) Ltd., general partner of TVM Life Science Ventures VII L.P. 01/12/2018
/s/ Stefan Fischer, Attorney in Fact for Hubert Birner 01/12/2018
/s/ Luc Marengere 01/12/2018
/s/ Stefan Fischer 01/12/2018
/s/ Stefan Fischer, Attorney in Fact for Helmut Schuhsler 01/12/2018
/s/ Mark Wanless 01/12/2018
/s/ Gary Leatt 01/12/2018
** Signature of Reporting Person Date
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