SEC Form 3
FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year) 02/14/2017 | 3. Issuer Name and Ticker or Trading Symbol Sierra Oncology, Inc. [ SRRA ] | |||||||||||||
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 2,186,195 | D(1) | |
Common Stock | 5,925,926 | D(2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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Explanation of Responses: |
1. Represents shares held by Frazier Healthcare VI, L.P., an affiliate of Frazier Healthcare Partners. Each of the Reporting Persons disclaims beneficial ownership of the shares except to the extent of their pecuniary interest therein, if any. |
2. Represents shares held by Frazier Life Sciences VIII, L.P., an affiliate of Frazier Healthcare Partners. Each of the Reporting Persons disclaims beneficial ownership of the shares except to the extent of their pecuniary interest therein, if any. |
Remarks: |
This statement is filed by: (i) Frazier Healthcare VI, L.P. ("Frazier VI") and Frazier Life Sciences VIII, L.P. ("Frazier VIII"), each a Delaware limited partnership and direct owners of the shares of Common Stock (together, the "Shares"); (ii) FHM VI, L.P., a Delaware limited partnership and general partner to Frazier VI; FHM VI, LLC a Delaware limited liability company and general partner of FHM VI, L.P.; FHM Life Sciences VIII, L.P., a Delaware limited partnership and general partner to Frazier VIII; and FHM Life Sciences VIII, LLC, a Delaware limited liability company and general partner of FHM Life Sciences VIII, L.P.;and (iii) Alan Frazier, Nader Naini, Nathan Every and Patrick Heron, each of who are members of FHM VI, LLC and may be deemed to share voting and investment power with respect to shares held by Frazier VI and Patrick Heron, who is a member of FHM Life Sciences VIII, LLC and may be deemed to share voting and investment power with respect to shares held by Frazier VIII. |
/s/ Frazier Healthcare VI, L.P. by Steve R. Bailey, Attorney-in-Fact | 02/24/2017 | |
/s/ FHM VI, L.P. by Steve R. Bailey, Attorney-in-Fact | 02/24/2017 | |
/s/ FHM VI, L.L.C. by Steve R. Bailey, Attorney-in-Fact | 02/24/2017 | |
/s/ Frazier Life Sciences VIII, L.P. by Steve R. Bailey, Attorney-in-Fact | 02/24/2017 | |
/s/ FHM Life Sciences VIII, L.P. by Steve R. Bailey, Attorney-in-Fact | 02/24/2017 | |
/s/ FHM Life Sciences VIII, L.L.C. by Steve R. Bailey, Attorney-in-Fact | 02/24/2017 | |
/s/ Alan Frazier by Steve R. Bailey, Attorney-in-Fact | 02/24/2017 | |
/s/ Nader Naini by Steve R. Bailey, Attorney-in-Fact | 02/24/2017 | |
/s/ Nathan Every by Steve R. Bailey, Attorney-in-Fact | 02/24/2017 | |
/s/ Patrick Heron by Steve R. Bailey, Attorney-in-Fact | 02/24/2017 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |