SEC Form 4 · accession 0001209191-17-015834
Clovis Oncology, Inc. · CLVS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
M James Barrett
Director
Period of report
Feb 27, 2017
Accepted (ET)
Mar 1, 2017 · 4:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001466301
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Feb 27, 2017 | J | 1,139,890 | $0.00 | D | 0 | I | See Note 2 |
| Common StockF4 | Feb 27, 2017 | J | 11,399 | $0.00 | A | 11,399 | I | See Note 4 |
| Common StockF4 | Feb 27, 2017 | J | 11,399 | $0.00 | D | 0 | I | See Note 4 |
| Common Stock | Feb 27, 2017 | J | 287 | $0.00 | A | 861 | D | |
| Common StockF8 | Feb 27, 2017 | J | 287 | $0.00 | A | 861 | I | See Note 8 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1New Enterprise Associates 13, L.P. ("NEA 13") made a pro rata distribution for no consideration of an aggregate of 1,139,890 shares of common stock of the Issuer to its general partner and its limited partners on February 27, 2017.
- F2The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of NEA 13, the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of the shares held by NEA 13, except to the extent of his pecuniary interest therein.
- F3NEA Partners 13 received 11,399 shares of common stock of the Issuer in the distribution by NEA 13 on February 27, 2017.
- F4The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of the shares held by NEA Partners 13, except to the extent of his pecuniary interest therein.
- F5NEA Partners 13 made a pro rata distribution for no consideration of an aggregate of 11,399 shares of common stock of the Issuer to its limited partners on February 27, 2017.
- F6M. James Barrett and April Barrett received 287 shares of common stock of the Issuer in the distribution by NEA Partners 13 on February 27, 2017.
- F7Barrett 2006 Family Trust received 287 shares of common stock of the Issuer in the distribution by NEA Partners 13 on February 27, 2017.
- F8The securities are directly held by the Barrett 2006 Family Trust. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities of the Issuer held by the Barrett 2006 Family Trust in which the Reporting Person has no pecuniary interest.