0001209191-16-120976.txt : 20160517
0001209191-16-120976.hdr.sgml : 20160517
20160517180100
ACCESSION NUMBER: 0001209191-16-120976
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160513
FILED AS OF DATE: 20160517
DATE AS OF CHANGE: 20160517
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ProNAi Therapeutics 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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Parfet Donald R
CENTRAL INDEX KEY: 0001305641
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37490
FILM NUMBER: 161658773
BUSINESS ADDRESS:
STREET 1: C/O 350 E MICHIGAN AVENUE STE 500
STREET 2: APJOHN GROUP LLC
CITY: KALAMAZOO
STATE: MI
ZIP: 49007
BUSINESS PHONE: 269 349 8999
MAIL ADDRESS:
STREET 1: C/O 350 E MICHIGAN AVENUE STE 500
STREET 2: APJOHN GROUP LLC
CITY: KALAMAZOO
STATE: MI
ZIP: 49007
FORMER NAME:
FORMER CONFORMED NAME: Donald R Parfet
DATE OF NAME CHANGE: 20041008
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-05-13
0
0001290149
ProNAi Therapeutics Inc
DNAI
0001305641
Parfet Donald R
C/O PRONAI THERAPEUTICS, INC.
2150 885 WEST GEORGIA ST.
VANCOUVER
A1
V6C 3E8
BRITISH COLUMBIA, CANADA
1
1
0
0
Chairman of the Board
Common Stock
2016-05-13
4
J
0
3204
0.00
A
377379
I
By Donald R. Parfet 2006 Trust, Dated May 1, 2006
Common Stock
72250
D
Common Stock
238419
I
By Ann VanDeWater Parfet 2006 Revocable Trust, Dated May 5, 2006
Common Stock
4970
I
By wife
Common Stock
589
I
By Apjohn Group, LLC
Represents shares of the issuer's common stock received in connection with a pro rata distribution of shares held by Sigvion Fund I to its limited partners.
Includes (a) 13,605 shares of the issuer's common stock received as a liquidating distribution from Palmero Group LLC ("Palmero") and (b) 6,768 shares of the issuer's common stock received as a liquidating distribution from Apjohn Ventures Fund, LP ("AVF"). In prior reports, the reporting person reported beneficial ownership of all of the issuer's securities previously held by each of Palmero and AVF. As of March 7, 2016, the reporting person no longer had any voting or dispositive control over the issuer's securities held by AVF. In addition, in connection with the liquidating distribution, Palmero does not currently hold any of the issuer's securities.
The reporting person is the trustee of the Donald R. Parfet 2006 Trust, Dated May 1, 2006.
Includes an aggregate of 2,402 shares of the issuer's common stock received as liquidating distributions from Apjohn Ventures, LLC ("AVLLC"). AVLLC received shares of the issuer's common stock in connection with liquidating distributions from AVF and Apjohn Ventures Annex Fund LP ("AVAF"). In prior reports, the reporting person reported beneficial ownership of all of the issuer's securities previously held by each of AVF and AVAF. As of March 7, 2016, the reporting person no longer had any voting or dispositive control over the issuer's securities held by AVF and AVAF.
Includes 20,516 shares of the issuer's common stock received as a liquidating distribution from Palmero.
The 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.
The 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.
/s/ Sukhi Jagpal as attorney-in-fact for Donald Parfet
2016-05-17