0001544110-12-000001.txt : 20120327 0001544110-12-000001.hdr.sgml : 20120327 20120327203747 ACCESSION NUMBER: 0001544110-12-000001 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120327 FILED AS OF DATE: 20120327 DATE AS OF CHANGE: 20120327 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Ascher Brian D. CENTRAL INDEX KEY: 0001544110 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35469 FILM NUMBER: 12718451 MAIL ADDRESS: STREET 1: 3340 HILLVIEW AVENUE CITY: PALO ALTO STATE: CA ZIP: 94304 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: VOCERA COMMUNICATIONS, INC. CENTRAL INDEX KEY: 0001129260 STANDARD INDUSTRIAL CLASSIFICATION: COMMUNICATIONS EQUIPMENT, NEC [3669] IRS NUMBER: 943354663 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 525 RACE STREET STREET 2: SUITE 150 CITY: SAN JOSE STATE: CA ZIP: 95126-3495 BUSINESS PHONE: 408-882-5100 MAIL ADDRESS: STREET 1: 525 RACE STREET STREET 2: SUITE 150 CITY: SAN JOSE STATE: CA ZIP: 95126-3495 FORMER COMPANY: FORMER CONFORMED NAME: VOCERA COMMUNICATIONS INC DATE OF NAME CHANGE: 20001204 3 1 edgar.xml PRIMARY DOCUMENT X0205 3 2012-03-27 0 0001129260 VOCERA COMMUNICATIONS, INC. VCRA 0001544110 Ascher Brian D. C/O VENROCK 3340 HILLVIEW AVE. PALO ALTO CA 94304 1 0 1 0 Series C Convertible Preferred Stock Common Stock 2105262 I By Funds Series D Convertible Preferred Stock Common Stock 421214 I By Funds Series E Convertible Preferred Stock Common Stock 113811 I By Funds Series F Convertible Preferred Stock Common Stock 222317 I By Funds Series E Convertible Pref St Purchase Warrant (right to buy) 6.61 2015-10-19 Series E Convertible Preferred Stock 34142 I By Funds The Series C Convertible Preferred Stock ("Series C Preferred") is convertible into Common Stock on a one-for-one basis at any time at the holder's election and has no expiration date. Consists of (i) 1,684,210 shares of Series C Preferred held by Venrock Associates III, L.P. ("VA III"), (ii) 378,947 shares of Series C Preferred held by Venrock Associates ("VA"), and (iii) 42,105 shares of Series C Preferred held by Venrock Entrepreneurs Fund III, L.P. ("VEF III"). Venrock Management III, LLC ("VM III") is the general partner of VA III. VEF Management III, LLC ("VEFM") is the general partner of VEF III. VM III and VEFM disclaim beneficial ownership of these securities except to the extent of their pro-rata pecuniary interest therein. Brian D. Ascher is a member of VM III and may be deemed to beneficially own all of the shares held by VA III. Mr. Ascher disclaims beneficial ownership of these shares except to the extent of his indirect pecuniary interest therein. The Series D Convertible Preferred Stock ("Series D Preferred") is convertible into Common Stock on a one-for-one basis at any time at the holder's election and has no expiration date. Consists of (i) 336,972 shares of Series D Preferred held by VA III, (ii) 75,818 shares of Series D Preferred held by VA, and (iii) 8,424 shares of Series D Preferred held by VEF III. VM III is the general partner of VA III. VEFM is the general partner of VEF III. VM III and VEFM disclaim beneficial ownership of these securities except to the extent of their pro-rata pecuniary interest therein. Mr. Ascher is a member of VM III and may be deemed to beneficially own all of the shares held by VA III. Mr. Ascher disclaims beneficial ownership of these shares except to the extent of his indirect pecuniary interest therein. The Series E Convertible Preferred Stock ("Series E Preferred") is convertible into Common Stock on a one-for-one basis at any time at the holder's election and has no expiration date. Consists of (i) 91,049 shares of Series E Preferred held by VA III, (ii) 20,486 shares of Series E Preferred held by VA, and (iii) 2,276 shares of Series E Preferred held by VEF III. VM III is the general partner of VA III. VEFM is the general partner of VEF III. VM III and VEFM disclaim beneficial ownership of these securities except to the extent of their pro-rata pecuniary interest therein. Mr. Ascher is a member of VM III and may be deemed to beneficially own all of the shares held by VA III. Mr. Ascher disclaims beneficial ownership of these shares except to the extent of his indirect pecuniary interest therein. The Series F Convertible Preferred Stock ("Series F Preferred") is convertible into Common Stock on a one-for-one basis at any time at the holder's election and has no expiration date. Consists of (i) 177,854 shares of Series F Preferred held by VA III, (ii) 40,017 shares of Series F Preferred held by VA, and (iii) 4,446 shares of Series F Preferred held by VEF III. VM III is the general partner of VA III. VEFM is the general partner of VEF III. VM III and VEFM disclaim beneficial ownership of these securities except to the extent of their pro-rata pecuniary interest therein. Mr. Ascher is a member of VM III and may be deemed to beneficially own all of the shares held by VA III. Mr. Ascher disclaims beneficial ownership of these shares except to the extent of his indirect pecuniary interest therein. Immediately exercisable. Consists of (i) 27,315 shares of Series E Preferred issuable upon the exercise of warrants held by VA III, (ii) 6,145 shares of Series E Preferred issuable upon the exercise of warrants held by VA, and (iii) 682 shares of Series E Preferred issuable upon the exercise of warrants held by VEF III. VM III is the general partner of VA III. VEFM is the general partner of VEF III. VM III and VEFM disclaim beneficial ownership of these securities except to the extent of their pro-rata pecuniary interest therein. Mr. Ascher is a member of VM III and may be deemed to beneficially own all of the shares held by VA III. Mr. Ascher disclaims beneficial ownership of these shares except to the extent of his indirect pecuniary interest therein. /s/ Brian D. Ascher 2012-03-27