0000905718-20-000098.txt : 20200131 0000905718-20-000098.hdr.sgml : 20200131 20200131201517 ACCESSION NUMBER: 0000905718-20-000098 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200129 FILED AS OF DATE: 20200131 DATE AS OF CHANGE: 20200131 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sinclair Andrew CENTRAL INDEX KEY: 0001762451 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37490 FILM NUMBER: 20566637 MAIL ADDRESS: STREET 1: C/O SOLENO THERAPEUTICS INC. STREET 2: 1235 RADIO ROAD, SUITE 110 CITY: REDWOOD CITY STATE: CA ZIP: 94065 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Sierra Oncology, Inc. CENTRAL INDEX KEY: 0001290149 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2150 ? 885 WEST GEORGIA STREET CITY: VANCOUVER STATE: A1 ZIP: V6C 3E8 BUSINESS PHONE: 604-558-6536 MAIL ADDRESS: STREET 1: 2150 ? 885 WEST GEORGIA STREET CITY: VANCOUVER STATE: A1 ZIP: V6C 3E8 FORMER COMPANY: FORMER CONFORMED NAME: ProNAi Therapeutics Inc DATE OF NAME CHANGE: 20040513 4 1 sierraonco_fm4jan292020.xml X0306 4 2020-01-29 0 0001290149 Sierra Oncology, Inc. SRRA 0001762451 Sinclair Andrew C/O SIERRA ONCOLOGY, INC. 2150-885 WEST GEORGIA STREET VANCOUVER A1 V6C 3E8 BRITISH COLUMBIA, CANADA 1 0 0 0 Common Stock 2020-01-29 4 C 0 871125 0 A 876542 I See footnotes Series A Convertible Voting Preferred Stock 2020-01-29 4 C 0 11500 D Common Stock 871125 0 I See footnotes The securities of Sierra Oncology, Inc. (the "Issuer") are held by Abingworth Bioventures VII, LP ("ABV VII"). Abingworth LLP is the investment manager of ABV VII and has been delegated with all investment and dispositive power over the securities held by ABV VII. Reporting Person is a Partner and Portfolio Manager of Abingworth LLP. An investment committee approves investment and voting decisions by a majority vote, and no individual member has the sole control or voting power over the shares held by ABV VII. From time to time, the investment committee may delegate investment and voting authority over certain securities held by ABV VII to employees of Abingworth LLP subject to the supervision and oversight of the investment committee, including any limits on such authority imposed by the investment committee in its discretion and the right of the investment committee to revoke such authority at any time. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any. On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split. Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock for no additional consideration, as adjusted for the Reverse Split, automatically upon the 5th trading date following the Issuer's announcement of receiving stockholder approval for the first reverse stock split of the Issuer following November 13, 2019. The Series A Preferred Stock has no expiration date. Consists of 11,500 shares of Series A Preferred Stock held by ABV VII which are convertible into an aggregate of 871,125 shares of Common Stock, as adjusted for the Reverse Split. /s/ John Heard, as attorney-in-fact 2020-01-31