FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

TVM Life Science Ventures VI GmbH & Co KG

2. Date of Event Requiring Statement (MM/DD/YYYY)
9/19/2017 

3. Issuer Name and Ticker or Trading Symbol

Acer Therapeutics Inc. [ACER]

(Last)        (First)        (Middle)

C/O TVM CAPITAL GROUP, OTTOSTRASSE 4

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__ X __ Director                            ___ X ___ 10% Owner
_____ Officer (give title below)          _____ Other (specify below)

(Street)

MUNICH, 2M 80333       

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed (MM/DD/YYYY)

 

6. Individual or Joint/Group Filing (Check Applicable Line)

___ Form filed by One Reporting Person
_ X _ Form filed by More than One Reporting Person


Table I - Non-Derivative Securities Beneficially Owned
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   663782   (1) I   See Footnote   (2)
Common Stock   227485   (1) I   See Footnote   (3)
Common Stock   1172709   (1) I   See Footnote   (4)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: 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

Explanation of Responses:
(1)  These shares were acquired pursuant to an Agreement and Plan of Merger, dated as of June 30, 2017 (the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Acer Therapeutics Inc. ("Acer"). Pursuant to the Merger Agreement, at the Effective Time (as defined in the Merger Agreement) of the closing of the Mergers contemplated thereby, the then outstanding shares of Acer's common stock were cancelled and were automatically converted into the right to receive 1 share of the Issuer's common stock for each share of Acer common stock then held by the Reporting Persons.
(2)  The shares are directly held by TVM Life Science Ventures VI GmbH & Co. KG ("TVM VI"). Hubert Birner ("Birner"), Stefan Fischer ("Fischer"), and Helmut Schuhsler ("Schuhsler") are members of the investment committee of TVM Life Science Ventures Management VI L.P. ("TVM VI Management"), a special limited partner of TVM VI, with voting and dispositive power over the shares held by TVM VI. TVM VI Management, Birner, Schuhsler and Fischer each disclaim beneficial ownership of the shares held by TVM VI, except to the extent of any pecuniary interest therein, if any. Birner is a director of the Issuer.
(3)  The shares are directly held by TVM Life Science Ventures VI L.P. ("TVM VI LP"). Birner, Schuhsler and Fischer are members of the investment committee of TVM VI Management, a special limited partner of TVM VI LP, with voting and dispositive power over the shares held by TVM VI LP. TVM VI Management, Birner, Schuhsler and Fischer each disclaim beneficial ownership of the shares held by TVM VI LP, except to the extent of any pecuniary interest therein, if any.
(4)  These shares are directly held by TVM Life Science Ventures VII L.P. ("TVM VII LP"). TVM Life Science Ventures VII (GP) Ltd. ("TVM VII GP Ltd") is the general partner of TVM VII LP. Luc Marengere ("Marengere"), Mark Wanless ("Wanless"), Gary Leatt ("Leatt"), Birner, Fischer and Schuhsler are members of the investment committee of TVM VII GP Ltd, which has voting and investment power with respect to these shares. TVM VII GP Ltd, Birner, Fischer, Schuhsler, Marengere, Wanless and Leatt each disclaim any beneficial ownership of the reported securities, except to the extent of any pecuniary interest therein, if any. Marengere is a director of the Issuer.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
TVM Life Science Ventures VI GmbH & Co KG
C/O TVM CAPITAL GROUP
OTTOSTRASSE 4
MUNICH, 2M 80333
X X

TVM Life Science Ventures VI LP
C/O TVM CAPITAL GROUP
OTTOSTRASSE 4
MUNICH, 2M 80333
X X

TVM Life Science Ventures VII L.P.
C/O TVM CAPITAL GROUP
204, RUE NOTRE-DAME OUEST, BUREAU 350
MONTREAL, A8 H2Y 1T3
X X

Birner Hubert
C/O TVM CAPITAL GROUP
OTTOSTRASSE 4
MUNICH, 2M 80333
X X

Marengere Luc
C/O TVM CAPITAL GROUP
OTTOSTRASSE 4
MUNICH, 2M 80333
X X

Fischer Stefan
C/O TVM CAPITAL GROUP
OTTOSTRASSE 4
MUNICH, 2M 80333

X

SCHUHSLER HELMUT
C/O TVM CAPITAL GROUP
OTTOSTRASSE 4
MUNICH, 2M 80333

X

Wanless Mark
C/O TVM CAPITAL GROUP
OTTOSTRASSE 4
MUNICH, 2M 80333

X

Leatt Gary
C/O TVM CAPITAL GROUP
OTTOSTRASSE 4
MUNICH, 2M 80333

X


Signatures
/s/ Stefan Fischer, Director of TVM Life Science Ventures VI LLC, general partner of TVM Life Science Ventures Management VI L.P., managing limited partner of TVM Life Science Ventures VI GMBH & Co. KG 9/27/2017
** Signature of Reporting Person Date

/s/ Stefan Fischer, Director of TVM Life Science Ventures VI LLC, general partner of TVM Life Science Ventures Management VI L.P., managing limited partner of TVM Life Science Ventures VI L.P. 9/27/2017
** Signature of Reporting Person Date

/s/ Stefan Fischer, Director of TVM Life Science Ventures VII Ltd., general partner of TVM Life Science Ventures VII L.P. 9/27/2017
** Signature of Reporting Person Date

/s/ Stefan Fischer, Attorney in Fact for Hubert Birner 9/27/2017
** Signature of Reporting Person Date

/s/ Luc Marengere 9/27/2017
** Signature of Reporting Person Date

/s/ Stefan Fischer 9/27/2017
** Signature of Reporting Person Date

/s/ Stefan Fischer, Attorney in Fact for Helmut Schuhsler 9/27/2017
** Signature of Reporting Person Date

/s/ Mark Wanless 9/27/2017
** Signature of Reporting Person Date

/s/ Gary Leatt 9/27/2017
** 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 control number.
Acer Therapeutics Com USD0.01 (NASDAQ:OPXA)
과거 데이터 주식 차트
부터 5월(5) 2024 으로 6월(6) 2024 Acer Therapeutics Com USD0.01 차트를 더 보려면 여기를 클릭.
Acer Therapeutics Com USD0.01 (NASDAQ:OPXA)
과거 데이터 주식 차트
부터 6월(6) 2023 으로 6월(6) 2024 Acer Therapeutics Com USD0.01 차트를 더 보려면 여기를 클릭.