SEC Form 4 · accession 0001209191-16-120976
Sierra Oncology, Inc. · SRRA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald R Parfet
Officer — Chairman of the Board · Director
Period of report
May 13, 2016
Accepted (ET)
May 17, 2016 · 6:01 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001290149
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F3 | May 13, 2016 | J | 3,204 | $0.00 | A | 377,379 | I | By Donald R. Parfet 2006 Trust, Dated May 1, 2006 |
| Common StockF4 | holding | — | — | — | 72,250 | D | ||
| Common StockF5,F6 | holding | — | — | — | 238,419 | I | By Ann VanDeWater Parfet 2006 Revocable Trust, Dated May 5, 2006 | |
| Common Stock | holding | — | — | — | 4,970 | I | By wife | |
| Common StockF7 | holding | — | — | — | 589 | I | By Apjohn Group, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of the issuer's common stock received in connection with a pro rata distribution of shares held by Sigvion Fund I to its limited partners.
- F2Includes (a) 13,605 shares of the issuer's common stock received as a liquidating distribution from Palmero Group LLC ("Palmero") and (b) 6,768 shares of the issuer's common stock received as a liquidating distribution from Apjohn Ventures Fund, LP ("AVF"). In prior reports, the reporting person reported beneficial ownership of all of the issuer's securities previously held by each of Palmero and AVF. As of March 7, 2016, the reporting person no longer had any voting or dispositive control over the issuer's securities held by AVF. In addition, in connection with the liquidating distribution, Palmero does not currently hold any of the issuer's securities.
- F3The reporting person is the trustee of the Donald R. Parfet 2006 Trust, Dated May 1, 2006.
- F4Includes an aggregate of 2,402 shares of the issuer's common stock received as liquidating distributions from Apjohn Ventures, LLC ("AVLLC"). AVLLC received shares of the issuer's common stock in connection with liquidating distributions from AVF and Apjohn Ventures Annex Fund LP ("AVAF"). In prior reports, the reporting person reported beneficial ownership of all of the issuer's securities previously held by each of AVF and AVAF. As of March 7, 2016, the reporting person no longer had any voting or dispositive control over the issuer's securities held by AVF and AVAF.
- F5Includes 20,516 shares of the issuer's common stock received as a liquidating distribution from Palmero.
- F6The reporting person's wife is the trustee of the Ann VanDeWater Parfet 2006 Revocable Trust, Dated May 5, 2006. The reporting person disclaims beneficial ownership of such securities, 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.
- F7The reporting person is the managing member of Apjohn Group, LLC, and has sole voting and dispositive power over the shares held by Apjohn Group, LLC. The reporting person disclaims beneficial ownership over such securities except to the extent of his 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.