-----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, Kg6HQHRTi+f/w5NIdaCNdxDHOhLH4fReqPqe3JFg+nCiGNbMd2NtZKeAWc/qo7gK x2CmntLmuRIS7IfPh6rASA== 0000941655-04-000031.txt : 20041115 0000941655-04-000031.hdr.sgml : 20041115 20041115134117 ACCESSION NUMBER: 0000941655-04-000031 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040930 FILED AS OF DATE: 20041115 DATE AS OF CHANGE: 20041115 EFFECTIVENESS DATE: 20041115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RHO CAPITAL PARTNERS INC CENTRAL INDEX KEY: 0001020455 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: 041143640 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 r_04-0930.txt SCHEDULE 13F HOLDINGS REPORT 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, 2004 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 15, 2004 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: 82 Form 13F Information Table Value Total: $304,648 (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 Mngrs Sole Shared None ACTIVE POWER INC COM 00504W100 3,185 1,158,269 SH Sole 1,158,269 ADVANCIS PHRMCTCL COM 00764L109 3,826 469,489 SH Sole 469,489 AETNA INC COM 00817Y108 200 2,000 SH Sole 2,000 AGERE SYS INC CL B 00845V209 110 106,516 SH Sole 106,516 AIRSPAN NETWORKS INC COM 00950H102 6,351 1,169,568 SH Sole 1,169,568 ALLSTATE CORP COM 020002101 374 7,800 SH Sole 7,800 ALLTEL CORP COM 020039103 664 12,100 SH Sole 12,100 AON CORP COM 037389103 552 19,200 SH Sole 19,200 ASHLAND INC COM 044204105 400 7,125 SH Sole 7,125 AVANT IMMUNOTHER COM 053491106 1,545 903,708 SH Sole 903,708 BANK OF AMERICA COM 060505104 354 8,180 SH Sole 8,180 BANKNORTH GROUP COM 06646R107 336 9,600 SH Sole 9,600 BEAR STERNS COS COM 073902108 365 3,800 SH Sole 3,800 BEARINGPOINT INC COM 074002106 275 30,725 SH Sole 30,725 BELO CORP COM SER A 080555105 259 11,500 SH Sole 11,500 BMC SOFTWARE INC COM 055921100 198 12,500 SH Sole 12,500 BOEING CO COM 097023105 604 11,700 SH Sole 11,700 BP PLC SPONS ADR 055622104 574 9,975 SH Sole 9,975 BRSTL MYRS SQUIBB COM 110122108 330 13,925 SH Sole 13,925 BRKLNE BANCRP INC COM 11373M107 169 10,800 SH Sole 10,800 CAPSTONE TURBINE COM 14067D102 3,099 2,025,467 SH Sole 2,025,467 CIGNA CORP COM 125509109 219 3,150 SH Sole 3,150 CISCO SYS INC COM 17275R102 284 15,707 SH Sole 15,707 CIT GROUP INC COM 125581108 545 14,575 SH Sole 14,575 CITIGROUP INC COM 172967101 507 11,500 SH Sole 11,500 CNF INC COM 12612W104 505 12,325 SH Sole 12,325 COMMERCE ONE INC COM 200693208 18 99,727 SH Sole 99,727 COMPUTER ASSOC INT COM 204912109 1,409 53,575 SH Sole 53,575 COUNTRWDE FINANCL COM 222372104 488 12,398 SH Sole 12,398 CYBERONICS INC COM 23251P102 26,996 1,319,446 SH Sole 1,319,446 CYTEC IND INC COM 232820100 384 7,850 SH Sole 7,850 DEX MEDIA INC COM 25212E100 594 28,050 SH Sole 28,050 DIVERSA CORP COM 255064107 13,687 1,639,153 SH Sole 1,639,153 EASTMAN KODAK CO COM 277461109 387 12,000 SH Sole 12,000 FEDERTD DPT STO COM 31410H101 241 5,300 SH Sole 5,300 GANNETT INC COM 364730101 469 5,600 SH Sole 5,600 GENAERA CORP COM 36867G100 169 43,313 SH Sole 43,313 GENVEC INC COM 37246C109 6,687 2,591,790 SH Sole 2,591,790 GENZYME CORP GENL COM 372917104 701 12,880 SH Sole 12,880 HARRAHS ENTMT INC COM 413619107 323 6,100 SH Sole 6,100 HASBRO INC COM 418056107 507 26,975 SH Sole 26,975 HLTH MNGMNT ASSOC CL A 421933102 235 11,500 SH Sole 11,500 HEALTH NET INC COM 42222G108 663 26,825 SH Sole 26,825 HEWLETT PACKARD CO COM 428236103 781 41,650 SH Sole 41,650 HUMN GENOME SCINCES COM 444903108 4,091 374,994 SH Sole 374,994 INTL GAME TECHNOLOGY COM 459902102 360 10,000 SH Sole 10,000 IVILLAGE INC COM 46588H105 15,003 2,500,581 SH Sole 2,500,581 KNIGHT RIDDER INC COM 499040103 406 6,200 SH Sole 6,200 LEAR CORP COM 521865105 656 12,050 SH Sole 12,050 LEE ENTERPRISES INC COM 523768109 361 7,800 SH Sole 7,800 LOEWS CORP COM 540424108 532 9,100 SH Sole 9,100 LUCENT TECHNOLOGIES COM 549463107 1,276 402,614 SH Sole 402,614 MBIA INC COM 55262C100 370 6,350 SH Sole 6,350 MCKESSON CORP COM 58155Q103 334 13,025 SH Sole 13,025 MEDIA GEN INC CL A 584404107 218 3,900 SH Sole 3,900 MEMORY PHARMTCLS CORP COM 58606R403 2,339 305,413 SH Sole 305,413 METLIFE INC COM 59156R108 787 20,350 SH Sole 20,350 MGM MIRAGE COM 552953101 283 5,700 SH Sole 5,700 MILLENNIUM PHARMA COM 599902103 1,093 79,938 SH Sole 79,938 MOBILE TLSYSTEMS OJSC SPONS ADR 607409109 2,231 15,385 SH Sole 15,385 MONEYGRAM INTL INC COM 60935Y109 260 15,200 SH Sole 15,200 NEW YORK TIMES CO CL A 650111107 438 11,200 SH Sole 11,200 NITROMED INC COM 654798503 130,389 5,469,333 SH Sole 5,469,333 OLD REP INT CORP COM 680223104 380 15,187 SH Sole 15,187 PEOPLESOFT INC COM 712713106 435 21,900 SH Sole 21,900 QUOVADX INC COM 74913K106 193 101,106 SH Sole 101,106 RADISYS CORP COM 750459109 740 53,064 SH Sole 53,064 RAYMOND JAMES FNCL COM 754730109 212 8,800 SH Sole 8,800 ROSTELECOM LNG DIS SPONS ADR 778529107 1,444 106,723 SH Sole 106,723 SARA LEE CORP COM 803111103 541 23,650 SH Sole 23,650 SENOMYX INC COM 81724Q107 24,198 2,688,973 SH Sole 2,688,973 SUPERIOR INDS INTL COM 868168105 261 8,700 SH Sole 8,700 SYBASE INC COM 871130100 225 16,300 SH Sole 16,300 TERCICA INC COM 88078L105 24,003 2,666,998 SH Sole 2,666,998 THE MCCLATCHY CO CL A 579489105 361 5,100 SH Sole 5,100 TORCHMARK CORP COM 891027104 360 6,775 SH Sole 6,775 UNION PAC CORP COM 907818108 524 8,950 SH Sole 8,950 VIA NET WRKS INC COM 925912107 38 58,000 SH Sole 58,000 VICURON PHARMACTCLS COM 926471103 7,228 492,344 SH Sole 492,344 WASHINGTON MUT INC COM 939322103 223 5,700 SH Sole 5,700 WHIRLPOOL CORP COM 963320106 613 10,200 SH Sole 10,200 WISCONSIN ENERGY COM 976657106 672 21,075 SH Sole 21,075
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