FORM 4 |
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 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
TETRAPHASE PHARMACEUTICALS INC [ TTPH ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 09/18/2013 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 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 | 09/18/2013 | S | 97,665 | D | $10.2 | 2,007,246 | D(1) | |||
Common Stock | 09/18/2013 | S | 2,335 | D | $10.2 | 47,992 | D(2) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 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: 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 |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. The shares are directly held by CMEA Ventures VI, L.P. ("CMEA VI"). The general partner of CMEA VI is CMEA Ventures VI Management, L.P. ("CMEA VI GP"). The general partners of CMEA VI GP are Thomas R. Baruch ("Baruch"), David J. Collier ("Collier"), Faysal A. Sohail ("Sohail"), and James F. Watson ("Watson") and, as such, each of these individuals exercises shared voting and investment power over the shares held of record by CMEA VI. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of their pecuniary interest therein, if any. |
2. The shares are directly held by CMEA Ventures VI GmbH & Co. KG ("CMEA VI GmbH"). The managing limited partner of CMEA VI GmbH is CMEA VI GP. The general partners of CMEA VI GP are Baruch, Collier, Sohail, and Watson and, as such, each of these individuals exercises shared voting and investment power over the shares held of record by CMEA VI GmbH. Each of the filing persons disclaims beneficial ownership of the shares except to the extent of their pecuniary interest therein, if any. |
Remarks: |
/s/ James F. Watson - General Partner of CMEA Ventures VI Management, L.P., General Partner of CMEA Ventures VI, L.P. | 09/20/2013 | |
/s/ James F. Watson - General Partner of CMEA Ventures VI Management, L.P., managing limited partner of CMEA Ventures VI Gmbh & Co. KG, L.P. | 09/20/2013 | |
/s/ James F. Watson - General Partner of CMEA Ventures VI Management, L.P. | 09/20/2013 | |
/s/ Thomas R. Baruch | 09/20/2013 | |
/s/ David J. Collier | 09/20/2013 | |
/s/ Faysal A. Sohail | 09/20/2013 | |
/s/ James F. Watson | 09/20/2013 | |
** 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 Number. |