0001213900-22-004318.txt : 20220128
0001213900-22-004318.hdr.sgml : 20220128
20220128201259
ACCESSION NUMBER: 0001213900-22-004318
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220126
FILED AS OF DATE: 20220128
DATE AS OF CHANGE: 20220128
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VIVO VENTURES VII, LLC
CENTRAL INDEX KEY: 0001565020
STATE OF INCORPORATION: CA
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37490
FILM NUMBER: 22570871
BUSINESS ADDRESS:
STREET 1: 505 HAMILTON AVENUE, SUITE 200
CITY: PALO ALTO
STATE: CA
ZIP: 94301
BUSINESS PHONE: (650) 688-0822
MAIL ADDRESS:
STREET 1: 505 HAMILTON AVENUE, SUITE 200
CITY: PALO ALTO
STATE: CA
ZIP: 94301
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Vivo Ventures Fund VII, L.P.
CENTRAL INDEX KEY: 0001509160
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37490
FILM NUMBER: 22570870
BUSINESS ADDRESS:
STREET 1: 505 HAMILTON AVENUE, SUITE 200
CITY: PALO ALTO
STATE: CA
ZIP: 94301
BUSINESS PHONE: (650) 688-0818
MAIL ADDRESS:
STREET 1: 505 HAMILTON AVENUE, SUITE 200
CITY: PALO ALTO
STATE: CA
ZIP: 94301
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Vivo Ventures VII Affiliates Fund, L.P.
CENTRAL INDEX KEY: 0001538309
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37490
FILM NUMBER: 22570869
BUSINESS ADDRESS:
STREET 1: 505 HAMILTON AVENUE, SUITE 200
CITY: PALO ALTO
STATE: CA
ZIP: 94301
BUSINESS PHONE: (650) 688-0822
MAIL ADDRESS:
STREET 1: 505 HAMILTON AVENUE, SUITE 200
CITY: PALO ALTO
STATE: CA
ZIP: 94301
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Vivo Capital IX, LLC
CENTRAL INDEX KEY: 0001750698
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37490
FILM NUMBER: 22570873
BUSINESS ADDRESS:
STREET 1: 192 LYTTON AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94301
BUSINESS PHONE: 6506880818
MAIL ADDRESS:
STREET 1: 192 LYTTON AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94301
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Vivo Opportunity Fund, L.P.
CENTRAL INDEX KEY: 0001726403
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37490
FILM NUMBER: 22570874
BUSINESS ADDRESS:
STREET 1: 192 LYTTON AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94301
BUSINESS PHONE: 650-688-0818
MAIL ADDRESS:
STREET 1: 192 LYTTON AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94301
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Vivo Opportunity, LLC
CENTRAL INDEX KEY: 0001728970
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37490
FILM NUMBER: 22570875
BUSINESS ADDRESS:
STREET 1: 192 LYTTON AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94301
BUSINESS PHONE: 6506880818
MAIL ADDRESS:
STREET 1: 192 LYTTON AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94301
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Vivo Capital Fund IX, L.P.
CENTRAL INDEX KEY: 0001750117
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37490
FILM NUMBER: 22570872
BUSINESS ADDRESS:
STREET 1: 192 LYTTON AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94301
BUSINESS PHONE: (650) 688-0818
MAIL ADDRESS:
STREET 1: 192 LYTTON AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94301
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: 1820 GATEWAY DRIVE
STREET 2: SUITE 110
CITY: SAN MATEO
STATE: CA
ZIP: 94404
BUSINESS PHONE: (605) 376-8679
MAIL ADDRESS:
STREET 1: 1820 GATEWAY DRIVE
STREET 2: SUITE 110
CITY: SAN MATEO
STATE: CA
ZIP: 94404
FORMER COMPANY:
FORMER CONFORMED NAME: ProNAi Therapeutics Inc
DATE OF NAME CHANGE: 20040513
4
1
ownership.xml
X0306
4
2022-01-26
0
0001290149
Sierra Oncology, Inc.
SRRA
0001728970
Vivo Opportunity, LLC
192 LYTTON AVENUE
PALO ALTO,
CA
94301
0
0
1
0
0001726403
Vivo Opportunity Fund, L.P.
192 LYTTON AVENUE
PALO ALTO,
CA
94301
0
0
1
0
0001750698
Vivo Capital IX, LLC
192 LYTTON AVENUE
PALO ALTO,
CA
94301
0
0
1
0
0001750117
Vivo Capital Fund IX, L.P.
192 LYTTON AVENUE
PALO ALTO,
CA
94301
0
0
1
0
0001565020
VIVO VENTURES VII, LLC
192 LYTTON AVENUE
PALO ALTO,
CA
94301
0
0
1
0
0001509160
Vivo Ventures Fund VII, L.P.
192 LYTTON AVENUE
PALO ALTO,
CA
94301
0
0
1
0
0001538309
Vivo Ventures VII Affiliates Fund, L.P.
192 LYTTON AVENUE
PALO ALTO,
CA
94301
0
0
1
0
Common Stock
2022-01-26
4
X
0
24996
13.20
A
161712
I
By: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P.
Common Stock
2022-01-26
4
X
0
480277
13.20
A
1935853
I
By: Vivo Opportunity Fund, L.P.
Common Stock
2022-01-26
4
X
0
107164
13.20
A
431947
I
By: Vivo Capital Fund IX, L.P.
Series B Warrant (Right to Purchase )
13.20
2022-01-26
4
X
0
75749
13.20
D
2020-01-22
Common Stock
24996
0
I
By: Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P.
Series B Warrant (Right to Purchase )
13.20
2022-01-26
4
X
0
1455384
13.20
D
2020-01-22
Common Stock
480277
0
I
By: Vivo Opportunity Fund, L.P.
Series B Warrant (Right to Purchase )
13.20
2022-01-26
4
X
0
324740
13.20
D
2020-01-22
Common Stock
107164
0
I
By: Vivo Capital Fund IX, L.P.
On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock was effected. The number of Series B warrants being exercised, the number of shares of Common Stock issued upon exercise of the Series B Warrants and the exercise price of the Series B Warrants as disclosed hereof all reflect the 1-for-40 reverse split against the original numbers as disclosed in the Reporting Persons' Form 3, filed with the Securities and Exchange Commission on December 2, 2019. Each Series B Warrant is exercisable for 0.33 share of Common Stock.
The Series B Warrants will expire on the 75th day anniversary of the Issuer's announcement of the top-line data results from MOMENTUM. The Issuer announced such data on January 25, 2022.
Vivo Ventures VII, LLC is the general partner of each of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P. ("Vivo Fund VII"), the record holder of the securities. Frank Kung, Edgar Engleman and Shan Fu are managing members of Vivo Ventures VII, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Fund VII. Each of these individuals 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.
Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. Gaurav Aggarwal, Hongbo Lu, Kevin Dai, Frank Kung and Michael Chang are managing members of Vivo Opportunity, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her 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.
Vivo Capital IX, LLC is the general partner of Vivo Capital Fund IX, L.P., the record holder of the securities. Frank Kung, Edgar Engleman, Shan Fu, Hongbo Lu, Mahendra Shah, Jack Nielsen and Michael Chang are managing members of Vivo Capital IX, LLC and may be deemed to share voting and dispositive power over the securities held by Vivo Capital Fund IX, L.P. Each of these individuals disclaims beneficial ownership over such securities except to the extent of his or her 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/ Gaurav Aggarwal, as a managing member of Vivo Opportunity, LLC
2022-01-28
/s/ Gaurav Aggarwal, as a managing member of Vivo Opportunity, LLC, the general partner of Vivo Opportunity Fund, L.P.
2022-01-28
/s/ Frank Kung, as a managing member of Vivo Capital IX, LLC
2022-01-28
/s/ Frank Kung, as a managing member of Vivo Capital IX, LLC, the general partner of Vivo Capital Fund IX, L.P
2022-01-28
/s/ Frank Kung, as a managing member of Vivo Ventures VII, LLC.
2022-01-28
/s/ Frank Kung, as a managing member of Vivo Ventures VII, LLC, the general partner of Vivo Ventures Fund VII, L.P. and Vivo Ventures VII Affiliates Fund, L.P.
2022-01-28