SEC Form 4 · accession 0001179110-16-032351
SUNESIS PHARMACEUTICALS INC · SNSS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Daniel N Swisher Jr.
Officer — President and CEO · Director
Period of report
Nov 30, 2016
Accepted (ET)
Dec 2, 2016 · 7:22 pm EST
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 StockF1 | holding | — | — | — | 48,417 | D | ||
| Common StockF2 | holding | — | — | — | 33,289 | I | See footnote. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F3 | $4.03 | Nov 30, 2016 | A | 240,000 | A | — | Nov 30, 2026 | Common Stock | 240,000 | 240,000 | D |
Explanation of responses
- F1Reflects a one-for-six reverse stock split effective September 7, 2016 and also includes ESPP purchases by the reporting person of 1,000 shares (post-split) on 5/31/16 and 2,998 shares on November 30,2016.
- F2Reflects a one-for-six reverse stock split effective September 7, 2016. The shares are held by the Swisher Revocable Trust for which reporting person is Trustee.
- F3Twenty-five per cent (25%) of the total shares vest on November 30, 2017 and the remainder will vest ratably on each monthly anniversary thereafter such that the award will be fully vested on November 30, 2020.