-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Hp+Rnjhp+tcgpdCl6N3kLkIz9YMX5g2xqivy3TOilEH0lQYlgZTP+uFr87/VC2p5 Mv8HRXDGEGlFx814CdLcxA== 0000941655-01-500022.txt : 20020410 0000941655-01-500022.hdr.sgml : 20020410 ACCESSION NUMBER: 0000941655-01-500022 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010930 FILED AS OF DATE: 20011114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RHO CAPITAL PARTNERS INC CENTRAL INDEX KEY: 0001020455 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 133087622 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05883 FILM NUMBER: 1787961 BUSINESS ADDRESS: STREET 1: 152 WEST 57TH STREET STREET 2: 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2127516677 MAIL ADDRESS: STREET 1: 152 WEST 57TH STREET STREET 2: 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: RHO MANAGEMENT CO INC DATE OF NAME CHANGE: 19960806 13F-HR 1 r93001.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2001 Check here if Amendment [ ]; Amendment No.: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Rho Capital Partners, Inc. Address: 152 West 57th Street 23rd Floor New York, New York 10019 13F File Number: 28-5883 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Peter E. Kalkanis Title: Chief Financial Officer Phone: 212-751-6677 /s/ Peter E. Kalkanis New York, New York Dated: November 14, 2001 Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 27 Form 13F Information Table Value Total: $119,591 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE Value Shares/ Sh/ Put/ Invstmt Other Voting Authority Name of Issuer Title of Class CUSIP (x$1000) PrnAmt Prn Call Discret Managers Sole Shared None 3-D PHARMACEUTICALS COM 88554W104 17,141 2,502,398 SH Sole 0 2,502,398 ACTIVE POWER INC COM 00504W100 4,930 983,936 SH Sole 0 983,936 AIRSPAN NETWORKS COM 00950H102 2,477 1,510,253 SH Sole 0 1,510,253 AVANT IMMUNOTHERAPT COM 053491106 2,133 899,954 SH Sole 0 899,954 BIOTRANSPLANT INC COM 09066Y107 4,456 810,114 SH Sole 0 810,114 CAPSTONE TURBINE COM 14067D102 17,149 2,839,225 SH Sole 0 2,839,225 CISCO SYS INC COM 17275R102 300 24,610 SH Sole 0 24,610 COMMERCE ONE INC COM 200693109 3,910 1,589,249 SH Sole 0 1,589,249 CYBERONICS INC COM 23251P102 13,575 861,389 SH Sole 0 861,389 DIACRIN INC COM 25243N103 2,685 1,755,087 SH Sole 0 1,755,087 DIVERSA CORP COM 255064107 15,169 1,613,771 SH Sole 0 1,613,771 DYAX CORP COM 26746E103 3,647 379,126 SH Sole 0 379,126 GENAERA CORP COM 36867G100 762 298,829 SH Sole 0 298,829 GENZYME-BIOSURGERY COM 372917708 112 28,672 SH Sole 0 28,672 GENZYME-MOLECULAR COM 372917500 893 115,265 SH Sole 0 115,265 IVILLAGE INC COM 46588H105 1,835 2,038,393 SH Sole 0 2,038,393 JUNIPER NETWORKS COM 48203R104 520 53,577 SH Sole 0 53,577 KANA SOFTWARE INC COM 483600102 34 95,276 SH Sole 0 95,276 MEMBERWORKS INC COM 586002107 3,048 148,200 SH Sole 0 148,200 METAWAVE COMMUNICATNS COM 591409107 120 44,629 SH Sole 0 44,629 MISSION RESOURCES CO COM 605109107 3,865 978,590 SH Sole 0 978,590 MUSICMAKER COM INC COM 62757C207 233 166,315 SH Sole 0 166,315 ONESOURCE INFOMTN SVCS COM 68272J106 4,324 509,335 SH Sole 0 509,335 SILICON LABORATORIES COM 826919102 2,173 157,582 SH Sole 0 157,582 VERSICOR INC COM 925314106 8,235 614,555 SH Sole 0 614,555 VIROPHARMA INC COM 928241108 4,732 187,254 SH Sole 0 187,254 XCARE NET INC COM 98388Y101 1,133 90,996 SH Sole 0 90,996
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