0000941655-12-000003.txt : 20120207 0000941655-12-000003.hdr.sgml : 20120207 20120207145410 ACCESSION NUMBER: 0000941655-12-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120207 DATE AS OF CHANGE: 20120207 EFFECTIVENESS DATE: 20120207 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RHO CAPITAL PARTNERS INC CENTRAL INDEX KEY: 0001020455 IRS NUMBER: 133087622 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05883 FILM NUMBER: 12577327 BUSINESS ADDRESS: STREET 1: 152 WEST 57TH STREET STREET 2: 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2127516677 MAIL ADDRESS: STREET 1: 152 WEST 57TH STREET STREET 2: 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: RHO MANAGEMENT CO INC DATE OF NAME CHANGE: 19960806 13F-HR 1 r_11-1231.txt SCHEDULE 13F HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2011. Check here if Amendment [ ]; Amendment No.: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Rho Capital Partners, Inc. Address: 152 West 57th Street 23rd Floor New York, New York 10019 13F File Number: 28-5883 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Peter E. Kalkanis Title: Chief Financial Officer Phone: 212-751-6677 /s/ Peter E. Kalkanis New York, New York Dated: February 7, 2012. Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 25 Form 13F Information Table Value Total: $156,093 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. 13F File Number Name 1 - - Rho Management Partners L.P. FORM 13F INFORMATION TABLE Value Shares/ Sh/ Put/ Invst Oth Voting Authority Name of Issuer Title of Class CUSIP (x$1000) PrnAmt Prn Call Discr Mngrs Sole Shared None 3M COMPANY COM 88579Y101 217 2,654 SH Other 1 2,654 ACTIVE POWER INC COM 00504W100 3,000 4,545,124 SH Other 1 4,545,124 ANACOR PHARMA COM 032420101 34,853 5,621,423 SH Sole 5,621,423 BLUEFLY INC COM 96227301 25,001 11,601,306 SH Sole 11,601,306 CAPSTONE TURBINE COM 14067D102 1,113 959,721 SH Other 1 959,721 CATERPILLAR COM 149123101 218 2,401 SH Other 1 2,401 CISCO SYSTEMS COM 17275R102 210 11,628 SH Other 1 11,628 COCA-COLA CO COM 191216100 221 3,160 SH Other 1 3,160 DUPONT COM 263534109 222 4,845 SH Other 1 4,845 EXXON MOBILE COM 30231G102 224 2,646 SH Other 1 2,646 GENVEC, INC. COM 37246C109 42 18,036 SH Sole 18,036 GENVEC, INC. COM 37246C109 742 318,647 SH Other 1 318,647 HSBC HOLDINGS PLC COM 404280406 3,418 89,713 SH Other 1 89,713 INTRALINKS COM 46118H104 49,346 7,908,012 SH Sole 7,908,012 ISHARES INC COM 464286848 3,017 331,150 SH Other 1 331,150 PROCTER & GAMBLE COM 742718109 217 3,252 SH Other 1 3,252 REACHLOCAL COM 75525F104 20,592 3,331,966 SH Sole 3,331,966 SCHLUMBERGER COM 806857108 211 3,092 SH Other 1 3,092 SYMETRA FINANCL COM 87151Q106 2,102 231,744 SH Other 1 231,744 TEMPLETON DRAGN FND COM 88018T101 7,698 302,461 SH Other 1 302,461 TEMPLETON RUS EAST EUR COM 88022F105 1,960 144,003 SH Other 1 144,003 UNITED TECHNOLOGIES COM 913017109 208 2,848 SH Other 1 2,848 VERENIUM CORP COM 92340P209 473 216,902 SH Sole 216,902 VERENIUM CORP COM 92340P209 574 263,357 SH Other 1 263,357 YUM! BRANDS COM 988498101 214 3,623 SH Other 1 3,623