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