SEC Form 4 · accession 0001123292-16-001931

Syndax Pharmaceuticals Inc · SNDX

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

Reporting owner

Director

Period of report

Mar 8, 2016

Accepted (ET)

Mar 8, 2016 · 6:38 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001395937

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1,F2	Mar 8, 2016	C	315,195	—	A	315,195	I	See footnote
Common Stock^F1,F2	Mar 8, 2016	C	198,931	—	A	514,126	I	See footnote
Common Stock^F1,F2	Mar 8, 2016	C	86,419	—	A	600,545	I	See footnote
Common Stock^F2	Mar 8, 2016	P	150,000	$12.00	A	750,545	I	See footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series A-1 Preferred Stock^F2,F1	—	Mar 8, 2016	C	315,195	D	—	—	Common Stock	315,195	I
Series B-1 Preferred Stock^F2,F1	—	Mar 8, 2016	C	198,931	D	—	—	Common Stock	198,931	I
Series C-1 Preferred Stock^F2,F1	—	Mar 8, 2016	C	86,419	D	—	—	Common Stock	86,419	I

F1Upon the closing of the Issuer's initial public offering of its common stock, each share of Series A-1, Series B-1 and Series C-1 preferred stock automatically converted into one share of common stock. The Series A-1, Series B-1 and Series C-1 preferred stock had no expiration date.
F2The securities are owned directly by Forward Ventures V, LP ("Forward V"), Forward Ventures IV, LP ("Forward IV") and Forward Ventures IVB, LP ("Forward IVB" and collectively, the "Forward Entities"). Dr. Royston is a member of Forward V and a managing member of Forward IV Associates, LLC which is the general partner of each of Forward IV and Forward IVB. As a result, Dr. Royston shares voting and investment power over the shares owned by the Forward Entities. Dr. Royston disclaims beneficial ownership of all shares held by the Forward Entities, except to the extent of his actual pecuniary interest therein.