SEC Form 4 · accession 0001104659-15-053993
SUNESIS PHARMACEUTICALS INC · SNSS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven B Ketchum
Director
Period of report
Jul 24, 2015
Accepted (ET)
Jul 28, 2015 · 9:53 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001061027
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jul 24, 2015 | X | 11,105 | $1.32 | A | 85,066 | D | |
| Common Stock | Jul 24, 2015 | S | 4,239 | $3.4585 | D | 80,827 | D | |
| Common Stock | Jul 24, 2015 | X | 5,551 | $1.32 | A | 86,378 | D | |
| Common Stock | Jul 24, 2015 | S | 2,119 | $3.4585 | D | 84,259 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (right to buy) | $1.32 | Jul 24, 2015 | X | 11,105 | D | Apr 3, 2009 | Apr 3, 2016 | Common Stock | 11,105 | 0 | D |
| Warrant (right to buy) | $1.32 | Jul 24, 2015 | X | 5,551 | D | Oct 30, 2009 | Oct 30, 2016 | Common Stock | 5,551 | 0 | D |
Explanation of responses
- F1On July 24, 2015, the reporting person exercised a warrant to purchase 11,105 shares of SNSS common stock for $1.32 a share. The reporting person paid the exercise price on a cashless basis, resulting in SNSS's withholding of 4.239 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 6,866 shares.
- F2On July 24, 2015, the reporting person exercised a warrant to purchase 5,551 shares of SNSS common stock for $1.32 a share. The reporting person paid the exercise price on a cashless basis, resulting in SNSS's withholding of 2,119 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 3,432 shares.