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