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