0001209191-14-005986.txt : 20140130
0001209191-14-005986.hdr.sgml : 20140130
20140130190944
ACCESSION NUMBER: 0001209191-14-005986
CONFORMED SUBMISSION TYPE: 3
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140130
FILED AS OF DATE: 20140130
DATE AS OF CHANGE: 20140130
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Cara Therapeutics, Inc.
CENTRAL INDEX KEY: 0001346830
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: ONE PARROTT DRIVE
CITY: SHELTON
STATE: CT
ZIP: 06484
BUSINESS PHONE: 203-567-1500
MAIL ADDRESS:
STREET 1: ONE PARROTT DRIVE
CITY: SHELTON
STATE: CT
ZIP: 06484
FORMER COMPANY:
FORMER CONFORMED NAME: Cara Therapeutics Inc
DATE OF NAME CHANGE: 20051213
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LESCHLY MARK
CENTRAL INDEX KEY: 0001120545
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36279
FILM NUMBER: 14562189
MAIL ADDRESS:
STREET 1: RHO CAPITAL PARTNERS, INC.
STREET 2: 152 W 57TH ST 23RD FL
CITY: NEW YORK
STATE: NY
ZIP: 10019
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KAIROUZ HABIB
CENTRAL INDEX KEY: 0001082907
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36279
FILM NUMBER: 14562190
MAIL ADDRESS:
STREET 1: C/O RHO CAPITAL PARTNERS, INC.
STREET 2: 152 WEST 57TH STREET, 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Rho Capital Partners LLC
CENTRAL INDEX KEY: 0001325385
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36279
FILM NUMBER: 14562191
BUSINESS ADDRESS:
STREET 1: C/O RHO CAPITAL PARTNERS, INC.
STREET 2: 152 WEST 57TH STREET, 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 212-751-6677
MAIL ADDRESS:
STREET 1: C/O RHO CAPITAL PARTNERS, INC.
STREET 2: 152 WEST 57TH STREET, 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RMV VI, L.L.C.
CENTRAL INDEX KEY: 0001478944
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36279
FILM NUMBER: 14562192
BUSINESS ADDRESS:
STREET 1: C/O JEFFREY I. MARTIN, ESQ.
STREET 2: 152 WEST 57TH STREET, 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 212-751-6677
MAIL ADDRESS:
STREET 1: C/O JEFFREY I. MARTIN, ESQ.
STREET 2: 152 WEST 57TH STREET, 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RHO Ventures VI LP
CENTRAL INDEX KEY: 0001419636
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36279
FILM NUMBER: 14562193
BUSINESS ADDRESS:
STREET 1: 152 West 57th Street
STREET 2: 23rd Floor
CITY: New York
STATE: NY
ZIP: 10019
BUSINESS PHONE: (212) 751-6677
MAIL ADDRESS:
STREET 1: 152 West 57th Street
STREET 2: 23rd Floor
CITY: New York
STATE: NY
ZIP: 10019
FORMER NAME:
FORMER CONFORMED NAME: RHO Ventues VI LP
DATE OF NAME CHANGE: 20071128
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RUCH JOSHUA
CENTRAL INDEX KEY: 0000943431
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36279
FILM NUMBER: 14562188
MAIL ADDRESS:
STREET 1: 4 DUNE ROAD
CITY: EAST QUOGUE
STATE: NY
ZIP: 11942
3
1
doc3.xml
FORM 3 SUBMISSION
X0206
3
2014-01-30
0
0001346830
Cara Therapeutics, Inc.
CARA
0001419636
RHO Ventures VI LP
152 WEST 57TH STREET, 23RD FLOOR
NEW YORK
NY
10019
0
0
1
0
0001478944
RMV VI, L.L.C.
C/O RHO VENTURES
152 WEST 57TH STREET, 23RD FLOOR
NEW YORK
NY
10019
0
0
1
0
0001325385
Rho Capital Partners LLC
C/O RHO VENTURES
152 WEST 57TH STREET, 23RD FLOOR
NEW YORK
NY
10019
0
0
1
0
0001082907
KAIROUZ HABIB
C/O RHO VENTURES
152 WEST 57TH STREET, 23RD FLOOR
NEW YORK
NY
10019
0
0
1
0
0001120545
LESCHLY MARK
C/O RHO VENTURES
152 WEST 57TH STREET, 23RD FLOOR
NEW YORK
NY
10019
0
0
1
0
0000943431
RUCH JOSHUA
C/O RHO VENTURES
152 WEST 57TH STREET, 23RD FLOOR
NEW YORK
NY
10019
0
0
1
0
Common Stock
0
D
Series D Preferred Stock
Common Stock
2442239
I
See Footnote
The Series D Preferred Stock held by the reporting persons will automatically convert on a 1-for-2.5 basis into shares of common stock upon the closing of the issuer's initial public offering. The Series D Preferred Stock has no expiration date.
These securities are owned directly by Rho Ventures VI, L.P. ("Ventures"). RMV VI, L.L.C. ("RMV") is the general partner of Ventures and Rho Capital Partners LLC ("Partners") is the managing member of RMV. Mark Leschly, Habib Kairouz and Joshua Ruch are managing members of Partners and exercise shared voting and investment power with respect to the shares owned by Ventures. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his or its respective pecuniary interest therein.
Exhibit List - Exhibit 24 - Power of Attorney
/s/Darren DeStefano, Attorney-in-Fact
2014-01-30
Darren DeStefano, Attorney-in-Fact
2014-01-30
Darren DeStefano, Attorney-in-Fact
2014-01-30
Darren DeStefano, Attorney-in-Fact
2014-01-30
Darren DeStefano, Attorney-in-Fact
2014-01-30
Darren DeStefano, Attorney-in-Fact
2014-01-30
EX-24.3_503965
2
poa.txt
POA DOCUMENT
POWER OF ATTORNEY
(For Executing Form ID and Forms 3, 4 and 5)
Know all by these presents that the undersigned hereby constitutes and appoints
each of Darren DeStefano and Stephane Levy of Cooley LLP and Derek Chalmers and
Josef Schoell of Cara Therapeutics, Inc., as well as Jeff Martin of Rho Capital
Partners, Inc., signing individually, the undersigned's true and lawful
attorney-in-fact and agents to:
(1) Prepare, execute in the undersigned's name and on the undersigned's behalf,
and submit to the Securities and Exchange Commission a Form ID, including
amendments thereto, and any other documents necessary or appropriate to obtain
codes and passwords enabling the undersigned to make electronic filings with the
Securities and Exchange Commission of reports required by Section 16(a) of the
Securities Exchange Act of 1934 or any rule or regulation thereunder;
(2) Prepare, execute in the undersigned's name and on the undersigned's behalf,
and submit to the Securities and Exchange Commission Forms 3, 4 and 5 (including
amendments thereto and joint filing agreements in connection therewith) in
accordance with Section 16(a) of the Securities Exchange Act of 1934 and the
rules thereunder;
(3) Do and perform any and all acts for and on behalf of the undersigned that
may be necessary or desirable to prepare and execute any such Form 3, 4 or 5
(including amendments thereto and joint filing agreements in connection
therewith) and file such forms with the Securities and Exchange Commission and
any stock exchange, self-regulatory association or any other authority; and
(4) Take any other action of any type whatsoever in connection with the
foregoing that, in the opinion of such attorney-in-fact, may be of benefit to,
in the best interest of, or legally required of the undersigned, it being
understood that the documents executed by the attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as the attorney-in-fact may approve in the
attorney-in-fact's discretion.
The undersigned hereby grants to each such attorney-in-fact full power and
authority to do and perform any and every act and thing whatsoever requisite,
necessary, or proper to be done in the exercise of any of the rights and powers
herein granted, as fully to all intents and purposes as the undersigned might or
could do if personally present, with full power of substitution or revocation,
hereby ratifying and confirming all that such attorney-in-fact, or such
attorney-in- fact's substitute or substitutes, shall lawfully do or cause to be
done by virtue of this Power of Attorney and the rights and powers herein
granted. The undersigned acknowledges that the foregoing attorneys-in-fact, and
their substitutes, in serving in such capacity at the request of the
undersigned, are not assuming (nor is Cara Therapeutics, Inc. assuming) any of
the undersigned's responsibilities to comply with Section 16 of the Securities
Exchange Act of 1934.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4 and 5 with respect to the
undersigned's holdings of and transactions in securities issued by Cara
Therapeutics, Inc., unless earlier revoked by the undersigned in a signed
writing delivered to Cara Therapeutics, Inc. and the attorneys-in-fact. This
Power of Attorney revokes any other power of attorney that the undersigned has
previously granted to representatives of the Cara Therapeutics, Inc. and Cooley
LLP.
IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of the date written below.
Dated: January 16, 2014
Rho Ventures VI, L.P.
By: RMV VI, L.P., its General Partner
By: Rho Capital Partners LLC, its Managing Member
By: /s/Jeffrey Martin
Name: Jeffrey Martin
Title: Attorney-in-Fact
RMV VI, L.L.C.
By: Rho Capital Partners LLC, its Managing Member
By: /s/Jeffrey Martin
Name: Jeffrey Martin
Title: Attorney-in-Fact
Rho Capital Partners LLC
By: /s/Jeffrey Martin
Name: Jeffrey Martin
Title: Attorney-in-Fact
/s/Habib Kairouz
Habib Kairouz
/s/Mark Leschly
Mark Leschly
/s/Joshua Ruch
Joshua Ruch