SEC Form 4 · accession 0001209191-16-143405
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
Sep 29, 2016
Accepted (ET)
Sep 30, 2016 · 6:19 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 | Sep 29, 2016 | J | 3,384 | $0.00 | A | 380,763 | I | By Donald R. Parfet 2006 Trust, Dated May 1, 2006 |
| Common StockF3 | Sep 29, 2016 | J | 1,692 | $0.00 | A | 1,692 | I | By Apjohn Ventures, LLC |
| Common StockF3 | Sep 29, 2016 | J | 711 | $0.00 | A | 2,403 | I | By Apjohn Ventures, LLC |
| Common StockF3 | Sep 29, 2016 | J | 2,403 | $0.00 | D | 0 | I | By Apjohn Ventures, LLC |
| Common Stock | Sep 29, 2016 | J | 1,202 | $0.00 | A | 73,452 | D | |
| Common StockF7 | holding | — | — | — | 238,419 | I | By Ann VanDeWater Parfet 2006 Revocable Trust, Dated May 5, 2006 | |
| Common Stock | holding | — | — | — | 4,970 | I | By wife | |
| Common StockF8 | 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 Apjohn Ventures Fund, LP to its limited partners.
- F2The reporting person is the trustee of the Donald R. Parfet 2006 Trust, Dated May 1, 2006.
- F3The reporting person is a managing member of Apjohn Ventures, LLC ("AVLLC"), and has shared voting and shared dispositive power over the shares held by AVLLC. 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.
- F4Represents shares of the issuer's common stock received in connection with a pro rata distribution of shares held by Apjohn Ventures Annex Fund LP to its limited partners.
- F5Represents a pro rata distribution of shares of the issuer's common stock held by AVLLC to its members.
- F6Represents shares of the issuer's common stock received in connection with a pro rata distribution of shares held by AVLLC to its members.
- F7The 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.
- F8The 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.