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CBAY Cymabay Therapeutics Inc

32.48
0.00 (0.00%)
26 Apr 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Cymabay Therapeutics Inc NASDAQ:CBAY NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 32.48 34.10 30.85 0 01:00:00

Statement of Changes in Beneficial Ownership (4)

08/06/2018 12:31am

Edgar (US Regulatory)


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 OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
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 *

EMSTER KURT VON
2. Issuer Name and Ticker or Trading Symbol

CymaBay Therapeutics, Inc. [ CBAY ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__ X __ Director                      _____ 10% Owner
_____ Officer (give title below)      _____ Other (specify below)
(Last)          (First)          (Middle)

C/O CYMABAY THERAPEUTICS, INC., 7999 GATEWAY BLVD, SUITE 130
3. Date of Earliest Transaction (MM/DD/YYYY)

6/5/2018
(Street)

NEWARK, CA 94560
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

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

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

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. 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   6/5/2018     X    2000   D $5.75   19236   I   By the Konrad Hans von Emster III and Elizabeth F. von Emster Revocable Trust dated January 18, 2005  
Common Stock   6/5/2018     S (1)    920   D $12.51   18316   I   By the Konrad Hans von Emster III and Elizabeth F. von Emster Revocable Trust dated January 18, 2005  
Common Stock                  90000   D    
Common Stock                  273417   I   See footnotes   (2) (3)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. 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 7. Title and Amount of Securities Underlying Derivative Security
(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
Warrant (right to buy)   $5.75   6/5/2018     X   (1)       2000    9/30/2013   9/30/2018   Common Stock   2000   $0   0   I   By The Konrad Hans von Emster III and Elizabeth F. von Emster Revocable Trust dated January 18, 2005  

Explanation of Responses:
(1)  On June 5, 2018, Kurt von Emster ("Reporting Person") on behalf of the Konrad Hans von Emster III and Elizabeth F. von Emster Revocable Trust dated January 18, 2005, exercised a warrant to purchase 2,000 shares of CymaBay Therapeutics, Inc. ("CBAY") common stock for $5.75 per share. The Reporting Person paid the exercise price on a cashless basis, resulting in CBAY's withholding of 920 of the warrant shares to pay the exercise price and issuing to the Reporting Person the remaining 1,080 shares. CBAY also paid $9.47 to the Reporting Person in lieu of a fractional share.
(2)  Shares are held by Abingworth Bioventures VI, LP ("ABV VI") and Abingworth BioEquities Master Fund Limited ("ABE" together with ABV VI, the "Abingworth Funds"). Abingworth LLP ("Abingworth") is the investment manager of the Abingworth Funds and has been delegated with all investment and dispositive power over the securities held by the Abingworth Funds. The Reporting Person is a member of the investment committee of Abingworth, which approves investment and voting decisions by a majority vote, and no individual member has the sole control or voting power over the shares held by Abingworth.
(3)  From time to time, the investment committee may delegate investment and voting authority over certain securities held by the Abingworth Funds to employees of Abingworth subject to the supervision and oversight of the investment committee, including any limits on such authority imposed by the investment committee in its discretion and the right of the investment committee to revoke such authority at any time. The Reporting Person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
EMSTER KURT VON
C/O CYMABAY THERAPEUTICS, INC.
7999 GATEWAY BLVD, SUITE 130
NEWARK, CA 94560
X



Signatures
/s/ John Heard, as attorney-in-fact 6/7/2018
** 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 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).
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.

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