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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| 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. | SEC 1474 (9-02) | ||
| 1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 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 (Month/Day/Year) |
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) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Common Exchangeable Shares | (4) | 03/12/2014 | A | 36,502 | (4) | (4) | Common Stock | 36,502 | $ 11 (4) | 40,147 | I | See Note (1) | |||
| Common Exchangeable Shares | (4) | 03/12/2014 | C | 40,147 | (4) | (4) | Common Stock | 40,147 | (4) | 0 | I | See Note (1) | |||
| Series A-1 Exchangeable Shares | (5) | 03/12/2014 | C | 284,090 | (5) | (5) | Series A-1 Preferred Stock | 284,090 | (5) | 0 | I | See Note (1) | |||
| Series A-1 Preferred Stock | (3) | 03/12/2014 | C | 284,090 | (3) | (3) | Common Stock | 284,090 | (3) | 0 | I | See Note (1) | |||
| Series A-1 Preferred Stock | (3) | 03/12/2014 | C | 284,090 | (3) | (3) | Common Stock | 284,090 | (3) | 0 | I | See Note (1) | |||
| Series A-2 Exchangeable Shares | (5) | 03/12/2014 | C | 189,393 | (5) | (5) | Series A-2 Preferred Stock | 189,393 | (5) | 0 | I | See Note (1) | |||
| Series A-2 Preferred Stock | (3) | 03/12/2014 | C | 189,393 | (3) | (3) | Common Stock | 189,393 | (3) | 0 | I | See Note (1) | |||
| Series A-2 Preferred Stock | (3) | 03/12/2014 | C | 189,393 | (3) | (3) | Common Stock | 189,393 | (3) | 0 | I | See Note (1) | |||
| Series B-1 Exchangeable Shares | (5) | 03/12/2014 | C | 326,538 | (5) | (5) | Series B-1 Preferred Stock | 326,538 | (5) | 0 | I | See Note (1) | |||
| Series B-1 Preferred Stock | (3) | 03/12/2014 | C | 326,538 | (3) | (3) | Common Stock | 326,538 | (3) | 0 | I | See Note (1) | |||
| Series B-1 Preferred Stock | (3) | 03/12/2014 | C | 326,538 | (3) | (3) | Common Stock | 326,538 | (3) | 0 | I | See Note (1) | |||
| Series B-2 Exchangeable Shares | (5) | 03/12/2014 | C | 325,035 | (5) | (5) | Series B-2 Preferred Stock | 325,035 | (5) | 0 | I | See Note (1) | |||
| Series B-2 Preferred Stock | (3) | 03/12/2014 | C | 325,035 | (3) | (3) | Common Stock | 325,035 | (3) | 0 | I | See Note (1) | |||
| Series B-2 Preferred Stock | (3) | 03/12/2014 | C | 325,035 | (3) | (3) | Common Stock | 325,035 | (3) | 0 | I | See Note (1) | |||
| Series C Exchangeable Shares | (5) | 03/12/2014 | C | 378,786 | (5) | (5) | Series C Preferred Stock | 378,786 | (5) | 0 | I | See Note (1) | |||
| Series C Preferred Stock | (3) | 03/12/2014 | C | 378,786 | (3) | (3) | Common Stock | 378,786 | (3) | 0 | I | See Note (1) | |||
| Series C Preferred Stock | (3) | 03/12/2014 | C | 378,786 | (3) | (3) | Common Stock | 378,786 | (3) | 0 | I | See Note (1) | |||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Bridger Gary C/O FIVE CORNERS CAPITAL 700 W. GEORGIA STREET, SUITE 2500 VANCOUVER, A1 V7Y 1B3 |
X | |||
| /s/ Gary Bridger | 03/14/2014 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(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). |
| (1) | Dr. Bridger is a managing director of Five Corners Capital Inc., the general partner of Ventures West 8 Limited Partnership. Dr. Bridger may be deemed to have voting and investment power with respectto shares held by Ventures West 8 Limited Partnership. Dr. Bridger disclaimes benefical ownership of such shares except to the extent of any pecuniary interest. |
| (2) | Each share of the issuer's Common, Series A-1, Series A-2, Series B-1, Series B-2 and Series C Special Voting Stock was redeemed upon the closing of the issuer's initial public offering for $0.0000192 per share. |
| (3) | Each share of the issuer's Series A-1, Series A-2, Series B-1, Series B-2 and Series C Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis upon the closing of the issuer's initial public offering, and has no expiration date. |
| (4) | The Common Exchangeable Shares of Aquinox Pharmaceuticals Inc., a corporation under the Canadian Business Corporations Act ("AQXP Canada"), were exchanged for Common Stock of the issuer on a 1-to-1 basis upon the closing of the issuer's initial public offering, and have no expiration date. |
| (5) | The Series A-1, Series A-2, Series B-1, Series B-2 and Series C Exchangeable Shares of AQXP Canada were exchanged for Series A-1, Series A-2, Series B-1, Series B-2 and Series C Preferred Stock, respectively, of the issuer on a 1-to-1 basis immediately prior to the closing of the issuer's initial public offering, and have no expiration date. |