Sec Form 4 Filing - TVM Life Science Ventures VII L.P. @ Acer Therapeutics Inc. - 2018-08-01

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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
TVM Life Science Ventures VII L.P.
2. Issuer Name and Ticker or Trading Symbol
Acer Therapeutics Inc. [ ACER]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O TVM CAPITAL GROUP, 204, RUE NOTRE-DAME OUEST, BUREAU 350
3. Date of Earliest Transaction (MM/DD/YY)
08/01/2018
(Street)
MONTREAL, A8H2Y 1T3
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 08/01/2018 P 275,000 A $ 18 1,697,709 I See Footnote ( 1 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
TVM Life Science Ventures VII L.P.
C/O TVM CAPITAL GROUP
204, RUE NOTRE-DAME OUEST, BUREAU 350
MONTREAL, A8H2Y 1T3
X X
Birner Hubert
C/O TVM CAPITAL GROUP
OTTOSTRASSE 4
MUNICH, 2M80333
X X
Marengere Luc
C/O TVM CAPITAL GROUP
OTTOSTRASSE 4
MUNICH, 2M80333
X X
Fischer Stefan
C/O TVM CAPITAL GROUP
OTTOSTRASSE 4
MUNICH, 2M80333
X
SCHUHSLER HELMUT
C/O TVM CAPITAL GROUP
OTTOSTRASSE 4
MUNICH, 2M80333
X
Beeby Reshentha
C/O TVM CAPITAL GROUP
OTTOSTRASSE 4
MUNICH, 2M80333
X
Leatt Gary
C/O TVM CAPITAL GROUP
OTTOSTRASSE 4
MUNICH, 2M80333
X
Signatures
/s/ Stefan Fischer, Director of TVM Life Science Ventures VII (GP) Ltd., general partner of TVM Life Science Ventures VII L.P. 08/22/2018
Signature of Reporting Person Date
/s/ Stefan Fischer, Attorney in Fact for Hubert Birner 08/22/2018
Signature of Reporting Person Date
/s/ Luc Marengere 08/22/2018
Signature of Reporting Person Date
/s/ Stefan Fischer 08/22/2018
Signature of Reporting Person Date
/s/ Stefan Fischer, Attorney in Fact for Helmut Schuhsler 08/22/2018
Signature of Reporting Person Date
/s/ Reshentha Beeby 08/22/2018
Signature of Reporting Person Date
/s/ Gary Leatt 08/22/2018
Signature of Reporting Person Date
Explanation of Responses:
( 1 )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. Hubert Birner ("Birner"), Stefan Fischer ("Fischer"), Helmut Schuhsler ("Schuhsler"), Luc Marengere ("Marengere"), Reshentha Beeby ("Beeby"), and Gary Leatt ("Leatt") 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, Beeby 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.

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