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