0001181431-14-013581.txt : 20140320 0001181431-14-013581.hdr.sgml : 20140320 20140320181740 ACCESSION NUMBER: 0001181431-14-013581 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140318 FILED AS OF DATE: 20140320 DATE AS OF CHANGE: 20140320 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Ocera Therapeutics, Inc. CENTRAL INDEX KEY: 0001274644 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 631192270 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 525 UNIVERSITY AVENUE STREET 2: SUITE 610 CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 6504625800 MAIL ADDRESS: STREET 1: 525 UNIVERSITY AVENUE STREET 2: SUITE 610 CITY: PALO ALTO STATE: CA ZIP: 94301 FORMER COMPANY: FORMER CONFORMED NAME: TRANZYME INC DATE OF NAME CHANGE: 20031230 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HEALY JAMES CENTRAL INDEX KEY: 0001245624 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35119 FILM NUMBER: 14707730 MAIL ADDRESS: STREET 1: 2800 SAND HILL ROAD STREET 2: SUITE 150 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Azan Alain CENTRAL INDEX KEY: 0001294340 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35119 FILM NUMBER: 14707731 MAIL ADDRESS: STREET 1: 2800 SAND HILL ROAD STREET 2: SUITE 150 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sofinnova Management VI, L.L.C. CENTRAL INDEX KEY: 0001397188 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35119 FILM NUMBER: 14707733 BUSINESS ADDRESS: STREET 1: 2800 SAND HILL ROAD STREET 2: SUITE 150 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-681-8420 MAIL ADDRESS: STREET 1: 2800 SAND HILL ROAD STREET 2: SUITE 150 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sofinnova Venture Affiliates VI LP CENTRAL INDEX KEY: 0001312272 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35119 FILM NUMBER: 14707734 BUSINESS ADDRESS: STREET 1: 2800 SAND HILL ROAD STREET 2: SUITE 150 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: (650) 681-8420 MAIL ADDRESS: STREET 1: 2800 SAND HILL ROAD STREET 2: SUITE 150 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sofinnova Venture Partners VI GmbH & Co. KG CENTRAL INDEX KEY: 0001397189 STATE OF INCORPORATION: 2M FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35119 FILM NUMBER: 14707735 BUSINESS ADDRESS: STREET 1: 2800 SAND HILL ROAD STREET 2: SUITE 150 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: (650) 681-8420 MAIL ADDRESS: STREET 1: 2800 SAND HILL ROAD STREET 2: SUITE 150 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SOFINNOVA VENTURE PARTNERS VI L P CENTRAL INDEX KEY: 0001211465 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35119 FILM NUMBER: 14707736 BUSINESS ADDRESS: STREET 1: 2800 SAND HILL ROAD STREET 2: SUITE 150 CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 650-681-8420 MAIL ADDRESS: STREET 1: 2800 SAND HILL ROAD STREET 2: SUITE 150 CITY: MENLO PARK STATE: CA ZIP: 94025 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Buatois Eric CENTRAL INDEX KEY: 0001362314 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35119 FILM NUMBER: 14707732 MAIL ADDRESS: STREET 1: 2800 SAND HILL ROAD STREET 2: SUITE 150 CITY: MENLO PARK STATE: CA ZIP: 94025 4 1 rrd406019.xml DISTRIBUTION X0306 4 2014-03-18 1 0001274644 Ocera Therapeutics, Inc. OCRX 0001211465 SOFINNOVA VENTURE PARTNERS VI L P 2800 SAND HILL ROAD, SUITE 150 MENLO PARK CA 94025 0 0 1 0 0001397189 Sofinnova Venture Partners VI GmbH & Co. KG 2800 SAND HILL ROAD, SUITE 150 MENLO PARK CA 94025 0 0 1 0 0001312272 Sofinnova Venture Affiliates VI LP 2800 SAND HILL ROAD, SUITE 150 MENLO PARK CA 94025 0 0 1 0 0001397188 Sofinnova Management VI, L.L.C. 2800 SAND HILL ROAD, SUITE 150 MENLO PARK CA 94025 0 0 1 0 0001362314 Buatois Eric C/O SOFINNOVA VENTURES 2800 SAND HILL ROAD, SUITE 150 MENLO PARK CA 94025 0 0 1 0 0001294340 Azan Alain C/O SOFINNOVA VENTURES 2800 SAND HILL ROAD, SUITE 150 MENLO PARK CA 94025 0 0 1 0 0001245624 HEALY JAMES C/O SOFINNOVA VENTURES 2800 SAND HILL ROAD, SUITE 150 MENLO PARK CA 94025 0 0 1 0 Common Stock 2014-03-18 4 J 0 338370 0 D 686994 D Common Stock 2014-03-18 4 J 0 67040 0 D 136112 D Common Stock 2014-03-18 4 J 0 4612 0 D 9364 D Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Sofinnova Venture Partners VI, L.P. ("SV VI") without consideration to its limited partners. Shares are held by SV VI. Sofinnova Management VI, L.L.C. ("SV LLC") is the general partner of SV VI and Michael F. Powell ("Powell"), a director of the Issuer, James I. Healy ("Healy"), Alain L. Azan ("Azan") and Eric P. Buatois ("Buatois"), the managing members of SV LLC, may be deemed to share voting and dispositive power over the shares held by such entities. Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Sofinnova Venture Partners VI GmbH & Co. KG ("SV KG") without consideration to its limited partners. Shares are held by SV KG. SV LLC is the managing limited partner of SV KG, and Healy, Powell, Azan and Buatois, the managing members of SV LLC, may be deemed to share voting and dispositive power over the shares held by such entities. Represents a pro-rata in-kind distribution of Common Stock of the Issuer by Sofinnova Venture Affiliates VI, L.P. ("SV A") without consideration to its limited partners. Shares are held by SV A. SV LLC is the general partner of SV A, and Healy, Powell, Azan and Buatois, the managing members of SV LLC, may be deemed to share voting and dispositive power over the shares held by such entities. SV LLC and its managing members disclaim benefical ownership of these shares except to the extent of any pecuniary interest therein, and the filing of this report is not an admission that SV LLC or any of its managing members is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. /s/ Nathalie Auber, Attorney-in-Fact for Sofinnova Venture Partners VI, L.P. 2014-03-20 /s/ Nathalie Auber, Attorney-in-Fact for Sofinnova Venture Partners VI GmbH & Co. KG 2014-03-20 /s/ Nathalie Auber, Attorney-in-Fact for Sofinnova Venture Affiliates VI, L.P. 2014-03-20 /s/ Nathalie Auber, Attorney-in-Fact for Sofinnova Management VI, L.L.C. 2014-03-20 /s/ Nathalie Auber, Attorney-in-Fact for Alain Azan 2014-03-20 /s/ Nathalie Auber, Attorney-in-Fact for Eric Buatois 2014-03-20 /s/ Nathalie Auber, Attorney-in-Fact for James Healy 2014-03-20