0001209191-15-018753.txt : 20150225
0001209191-15-018753.hdr.sgml : 20150225
20150225181554
ACCESSION NUMBER: 0001209191-15-018753
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150223
FILED AS OF DATE: 20150225
DATE AS OF CHANGE: 20150225
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36829
FILM NUMBER: 15649289
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36829
FILM NUMBER: 15649291
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 VERWALTUNGS GMBH
CENTRAL INDEX KEY: 0001269068
STATE OF INCORPORATION: 2M
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36829
FILM NUMBER: 15649292
MAIL ADDRESS:
STREET 1: 124 DUNE RD
CITY: QUOGUE
STATE: NY
ZIP: 11959
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RHO MANAGEMENT VENTURES IV LLC
CENTRAL INDEX KEY: 0001269064
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36829
FILM NUMBER: 15649293
MAIL ADDRESS:
STREET 1: 124 DUNE RD
CITY: QUOGUE
STATE: NY
ZIP: 11959
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Rho Ventures IV-A, L.P.
CENTRAL INDEX KEY: 0001632862
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36829
FILM NUMBER: 15649294
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Rho Ventures IV Holdings LLC
CENTRAL INDEX KEY: 0001533275
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36829
FILM NUMBER: 15649296
BUSINESS ADDRESS:
STREET 1: 152 W. 57TH STREET
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 212-751-6677
MAIL ADDRESS:
STREET 1: 152 W. 57TH STREET
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RHO VENTURES IV QP LP
CENTRAL INDEX KEY: 0001126022
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36829
FILM NUMBER: 15649298
BUSINESS ADDRESS:
STREET 1: 124 DUNE ROAD
CITY: QUOGUE
STATE: NY
ZIP: 11959
MAIL ADDRESS:
STREET 1: 124 DUNE RD
CITY: QUOGUE
STATE: NY
ZIP: 11959
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RHO VENTURES IV GMBH & CO BETEILIGUNGS KG
CENTRAL INDEX KEY: 0001269066
STATE OF INCORPORATION: 2M
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36829
FILM NUMBER: 15649297
MAIL ADDRESS:
STREET 1: 124 DUNE RD
CITY: QUOGUE
STATE: NY
ZIP: 11959
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: RHO VENTURES IV LP
CENTRAL INDEX KEY: 0001126016
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36829
FILM NUMBER: 15649295
BUSINESS ADDRESS:
STREET 1: 124 DUNE ROAD
CITY: QUOGUE
STATE: NY
ZIP: 11959
MAIL ADDRESS:
STREET 1: 124 DUNE ROAD
CITY: QUOGUE
STATE: NY
ZIP: 11959
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: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36829
FILM NUMBER: 15649290
MAIL ADDRESS:
STREET 1: 4 DUNE ROAD
CITY: EAST QUOGUE
STATE: NY
ZIP: 11942
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: INOTEK PHARMACEUTICALS CORP
CENTRAL INDEX KEY: 0001281895
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 131 HARTWELL AVE
STREET 2: 1ST FLOOR, SUITE 105
CITY: LEXINGTON
STATE: MA
ZIP: 02421
BUSINESS PHONE: 781-676-2100
MAIL ADDRESS:
STREET 1: 131 HARTWELL AVE
STREET 2: 1ST FLOOR, SUITE 105
CITY: LEXINGTON
STATE: MA
ZIP: 02421
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2015-02-23
0
0001281895
INOTEK PHARMACEUTICALS CORP
ITEK
0001126022
RHO VENTURES IV QP LP
152 WEST 57TH STREET, 23RD FLOOR
NEW YORK
NY
10019
0
0
1
0
0001269066
RHO VENTURES IV GMBH & CO BETEILIGUNGS KG
152 WEST 57TH STREET, 23RD FLOOR
NEW YORK
NY
10019
0
0
1
0
0001533275
Rho Ventures IV Holdings LLC
C/O RHO CAPITAL PARTNERS, INC.
152 WEST 57TH STREET, 23RD FLOOR
NEW YORK
NY
10019
0
0
1
0
0001126016
RHO VENTURES IV LP
152 WEST 57TH STREET, 23RD FLOOR
NEW YORK
NY
10019
0
0
1
0
0001632862
Rho Ventures IV-A, L.P.
152 WEST 57TH STREET, 23RD FLOOR
NEW YORK
NY
10019
0
0
1
0
0001269064
RHO MANAGEMENT VENTURES IV LLC
152 WEST 57TH STREET, 23RD FLOOR
NEW YORK
NY
10019
0
0
1
0
0001269068
RHO CAPITAL PARTNERS VERWALTUNGS GMBH
152 WEST 57TH STREET, 23RD FLOOR
NEW YORK
NY
10019
0
0
1
0
0001082907
KAIROUZ HABIB
152 WEST 57TH STREET, 23RD FLOOR
NEW YORK
NY
10019
0
0
1
0
0000943431
RUCH JOSHUA
152 WEST 57TH STREET, 23RD FLOOR
NEW YORK
NY
10019
0
0
1
0
0001120545
LESCHLY MARK
152 WEST 57TH STREET, 23RD FLOOR
NEW YORK
NY
10019
0
0
1
0
Common Stock
2015-02-23
4
C
0
1606230
A
1839266
I
See Footnotes
Common Stock
2015-02-23
4
C
0
73092
A
1912358
I
See Footnotes
Common Stock
2015-02-23
4
P
0
958226
6.00
A
2870584
I
See Footnotes
Series AA Convertible Preferred Stock
2015-02-23
4
C
0
5128577
D
Common Stock
1606230
0
I
See Footnote
Convertible Promissory Notes
2015-02-23
4
C
0
432590.62
D
Common Stock
73092
0
I
See Footnote
Consists of the following shares of Common Stock issued upon conversion of shares of Series AA Convertible Preferred Stock ("Series AA") and accrued and unpaid dividends thereon, on a 4.05783-for-1 basis, upon the closing of the Issuer's initial public offering: (i) 473,479 shares held directly by Rho Ventures IV (QP), L.P. ("RV QP"), (ii) 493,435 shares held directly by Rho Ventures IV GmbH & Co. BETEILIGUNGS KG ("RV KG"), (iii) 438,202 shares held directly by Rho Ventures IV Holdings, LLC ("RV Holdings"), (iv) 89,584 shares held directly by Rho Ventures IV, L.P. ("RV IV") and (v) 111,530 shares held directly by Rho Ventures IV-A, L.P. ("RV IV-A"). The shares of Series AA had no expiration date.
Rho Management Ventures IV, L.L.C. ("RMV") is the general partner of RV IV, RV QP, RV Holdings, RV IV-A. Rho Capital Partners Verwaltungs GmbH ("RCP GmbH") is the general partner of RV KG. Each of RMV and RCP GmbH disclaims beneficial ownership of the reportable securities and this report shall not be deemed an admission that such filer is the beneficial owner of such securities, except to the extent of its pecuniary interest therein. Habib Kairouz, Joshua Ruch and Mark Leschly are managing members of RMV and managing directors of RCP GmbH. Each of Habib Kairouz, Joshua Ruch and Mark Leschly disclaims beneficial ownership of the reportable securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities, except to the extent of his pecuniary interest therein.
The outstanding principal amount and all accrued and unpaid interest under the Convertible Promissory Notes were automatically converted upon the closing of the Issuer's initial public offering into shares of Common Stock at the initial public offering price of $6.00 per share. The Convertible Promissory Notes had no expiration date. The number of shares of Common Stock as shown in column 4 of Table I consists of the following: (i) 24,823 shares held directly by RV QP, (ii) 25,869 shares held directly by RV KG, (iii) 17,704 shares held directly by RV Holdings and (iv) 4,696 shares held directly by RV IV.
Consists of the following shares purchased at the Issuer's initial public offering: (i) 325,420 shares held directly by RV QP, (ii) 339,135 shares held directly by RV KG, (iii) 232,098 shares held directly by RV Holdings and (iv) 61,573 shares held directly by RV IV.
/s/ Michael C. Wong, Attorney-in-Fact
2015-02-25
/s/ Michael C. Wong, Attorney-in-Fact
2015-02-25
/s/ Michael C. Wong, Attorney-in-Fact
2015-02-25
/s/ Michael C. Wong, Attorney-in-Fact
2015-02-25
/s/ Michael C. Wong, Attorney-in-Fact
2015-02-25
/s/ Michael C. Wong, Attorney-in-Fact
2015-02-25
/s/ Michael C. Wong, Attorney-in-Fact
2015-02-25
/s/ Michael C. Wong, Attorney-in-Fact
2015-02-25
/s/ Michael C. Wong, Attorney-in-Fact
2015-02-25
/s/ Michael C. Wong, Attorney-in-Fact
2015-02-25