SEC Form 4 · accession 0001179110-17-013545

SUNESIS PHARMACEUTICALS INC · SNSS

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Dayton Misfeldt

Director

Period of report

Oct 27, 2017

Accepted (ET)

Oct 30, 2017 · 7:30 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^F1,F2	Oct 27, 2017	P	392,520	$2.00	A	1,598,260	I	See footnotes.
Common Stock^F1,F3	Oct 27, 2017	P	7,480	$2.00	A	30,456	I	See footnotes.
Common Stock^F1,F4	holding	—	—		—	252	I	See footnotes.

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Common Stock Warrants (right to buy)^F5,F1,F2	$3.00	Oct 27, 2017	P	196,260	A	Oct 27, 2017	Oct 27, 2018	Common Stock	196,260	196,260	I
Common Stock Warrants (right to buy)^F6,F1,F3	$3.00	Oct 27, 2017	P	3,740	A	Oct 27, 2017	Oct 27, 2018	Common Stock	3,740	3,740	I

Explanation of responses

F1The reporting person is a Managing Director of Bay City Capital LLC, a Delaware limited liability company ("BCC"). BCC is the manager of Bay City Capital Management V LLC, a Delaware limited liability company ("Management V"). Management V is the general partner of Bay City Capital Fund V, L.P., a Delaware limited partnership ("Fund V") and Bay City Capital Fund V Co-Investment Fund, L.P., a Delaware limited partnership ("Co-Investment V") and has sole voting and dispositive power with respect to the securities held by Fund V and Co-Investment V. BCC, the manager of Management V, is also an advisor to Fund V and Co-Investment V and has sole voting and dispositive power with respect to the securities held. Mr. Misfeldt, BCC and Management V disclaim beneficial ownership with respect to the securities reported in this Form 4, except to the extent of their pecuniary interest therein.
F2The securities are held by Fund V.
F3The securities are held by Co-Investment V.
F4The securities are held by BCC.
F5The reported securities are included within the 392,520 shares of common stock and accompanying warrants purchased by the reporting person. The per share price of $2.00 includes one share of common stock and the accompanying warrant to purchase 0.5 share of common stock.
F6The reported securities are included within the 7,480 shares of common stock purchased by the reporting person. The per share price of $2.00 includes one share of common stock and the accompanying warrant to purchase 0.5 share of common stock.