0001213900-22-036724.txt : 20220701 0001213900-22-036724.hdr.sgml : 20220701 20220701165945 ACCESSION NUMBER: 0001213900-22-036724 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220701 FILED AS OF DATE: 20220701 DATE AS OF CHANGE: 20220701 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VIVO VENTURES VII, LLC CENTRAL INDEX KEY: 0001565020 STATE OF INCORPORATION: CA FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37490 FILM NUMBER: 221062165 BUSINESS ADDRESS: STREET 1: 505 HAMILTON AVENUE, SUITE 200 CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: (650) 688-0822 MAIL ADDRESS: STREET 1: 505 HAMILTON AVENUE, SUITE 200 CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vivo Ventures Fund VII, L.P. CENTRAL INDEX KEY: 0001509160 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37490 FILM NUMBER: 221062164 BUSINESS ADDRESS: STREET 1: 505 HAMILTON AVENUE, SUITE 200 CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: (650) 688-0818 MAIL ADDRESS: STREET 1: 505 HAMILTON AVENUE, SUITE 200 CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vivo Ventures VII Affiliates Fund, L.P. CENTRAL INDEX KEY: 0001538309 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37490 FILM NUMBER: 221062163 BUSINESS ADDRESS: STREET 1: 505 HAMILTON AVENUE, SUITE 200 CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: (650) 688-0822 MAIL ADDRESS: STREET 1: 505 HAMILTON AVENUE, SUITE 200 CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vivo Opportunity Fund Holdings, L.P. CENTRAL INDEX KEY: 0001930214 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37490 FILM NUMBER: 221062168 BUSINESS ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 6506880818 MAIL ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vivo Opportunity, LLC CENTRAL INDEX KEY: 0001728970 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37490 FILM NUMBER: 221062169 BUSINESS ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 6506880818 MAIL ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vivo Capital Fund IX, L.P. CENTRAL INDEX KEY: 0001750117 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37490 FILM NUMBER: 221062166 BUSINESS ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: (650) 688-0818 MAIL ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Vivo Capital IX, LLC CENTRAL INDEX KEY: 0001750698 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37490 FILM NUMBER: 221062167 BUSINESS ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 6506880818 MAIL ADDRESS: STREET 1: 192 LYTTON AVENUE CITY: PALO ALTO STATE: CA ZIP: 94301 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Sierra Oncology, 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: 1820 GATEWAY DRIVE STREET 2: SUITE 110 CITY: SAN MATEO STATE: CA ZIP: 94404 BUSINESS PHONE: (605) 376-8679 MAIL ADDRESS: STREET 1: 1820 GATEWAY DRIVE STREET 2: SUITE 110 CITY: SAN MATEO STATE: CA ZIP: 94404 FORMER COMPANY: FORMER CONFORMED NAME: ProNAi Therapeutics Inc DATE OF NAME CHANGE: 20040513 4 1 ownership.xml X0306 4 2022-07-01 1 0001290149 Sierra Oncology, Inc. SRRA 0001728970 Vivo Opportunity, LLC 192 LYTTON AVENUE PALO ALTO CA 94301 1 0 1 0 0001930214 Vivo Opportunity Fund Holdings, L.P. 192 LYTTON AVENUE PALO ALTO CA 94301 1 0 1 0 0001750698 Vivo Capital IX, LLC 192 LYTTON AVENUE PALO ALTO CA 94301 1 0 1 0 0001750117 Vivo Capital Fund IX, L.P. 192 LYTTON AVENUE PALO ALTO CA 94301 1 0 1 0 0001565020 VIVO VENTURES VII, LLC 192 LYTTON AVENUE PALO ALTO CA 94301 1 0 1 0 0001509160 Vivo Ventures Fund VII, L.P. 192 LYTTON AVENUE PALO ALTO CA 94301 1 0 1 0 0001538309 Vivo Ventures VII Affiliates Fund, L.P. 192 LYTTON AVENUE PALO ALTO CA 94301 1 0 1 0 Common Stock 2022-07-01 4 D 0 161712 55.00 D 0 I By: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. Common Stock 2022-07-01 4 D 0 2735853 55.00 D 0 I By: Vivo Opportunity Fund Holdings, L.P. Common Stock 2022-07-01 4 D 0 431947 55.00 D 0 I By: Vivo Capital Fund IX, L.P. Series A Warrants 13.20 2022-07-01 4 D 0 324740 0.00 D 2019-11-13 2024-11-13 Common Stock 324740 0 I By: Vivo Capital Fund IX, L.P. Series A Warrants 13.20 2022-07-01 4 D 0 1455384 0.00 D 2019-11-13 2024-11-13 Common Stock 1455384 0 I By: Vivo Opportunity Fund Holdings, L.P. Series A Warrants 13.20 2022-07-01 4 D 0 75749 0.00 D 2019-11-13 2024-11-13 Common Stock 75749 0 I By: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. Vivo Ventures VII, LLC ("Vivo Ventures LLC") is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Vivo Ventures LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest. Vivo Opportunity, LLC ("Vivo Opportunity LLC") is the general partner of Vivo Opportunity Fund Holdings, L.P., the record holder of the securities. Vivo Opportunity LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Vivo Capital IX, LLC ("Vivo Capital IX LLC") is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Vivo Capital IX LLC disclaims beneficial ownership over such securities except to the extent of its pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Pursuant to the terms of the Merger Agreement, the Issuer's outstanding Series A Warrants (the "Series A Warrants") were treated in accordance with their respective terms such that, at the effective time of the Merger, the outstanding Series A Warrants were cancelled and thereafter represent only the right to receive an amount in cash, without interest, equal to the Black Scholes Value (as defined in the Series A Warrants), which as calculated under the terms of the Series A Warrants equaled $45.98 per share of common stock underlying such warrants. Gaurav Aggarwal has been deputized to represent the Reporting Persons on the board of directors of the Issuer. By virtue of Dr. Aggarwal's representation, for purposes of Section 16 of the Securities Exchange Act of 1934 each of the Reporting Persons may be deemed directors by deputization of the Issuer. Dr. Aggarwal has filed a separate Section 16 report disclosing securities of the Issuer that he may be deemed to beneficially own for Section 16 purposes. /s/ Gaurav Aggarwal as a managing member of Vivo Opportunity, LLC 2022-07-01 /s/ Gaurav Aggarwal as a managing member of Vivo Opportunity, LLC, the general partner of Vivo Opportunity Fund Holdings, L.P. 2022-07-01 /s/ Frank Kung as a managing member of Vivo Capital IX, LLC 2022-07-01 /s/ Frank Kung as a managing member of Vivo Capital IX, LLC, the general partner of Vivo Capital Fund IX, L.P. 2022-07-01 /s/ Frank Kung as a managing member of Vivo Ventures VII, LLC 2022-07-01 /s/ Frank Kung as a managing member of Vivo Ventures VII, LLC, the general partner of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. 2022-07-01