0001209191-14-070081.txt : 20141119 0001209191-14-070081.hdr.sgml : 20141119 20141119172006 ACCESSION NUMBER: 0001209191-14-070081 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20141119 FILED AS OF DATE: 20141119 DATE AS OF CHANGE: 20141119 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Neothetics, Inc. CENTRAL INDEX KEY: 0001618835 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 208527075 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 9191 TOWNE CENTRE DRIVE, SUITE 400 CITY: SAN DIEGO STATE: CA ZIP: 92122 BUSINESS PHONE: (858) 750-1008 MAIL ADDRESS: STREET 1: 9191 TOWNE CENTRE DRIVE, SUITE 400 CITY: SAN DIEGO STATE: CA ZIP: 92122 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Alta Partners VIII, L.P. CENTRAL INDEX KEY: 0001399763 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36754 FILM NUMBER: 141236640 BUSINESS ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-362-4022 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CHAMPSI FARAH CENTRAL INDEX KEY: 0001198321 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36754 FILM NUMBER: 141236641 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NOHRA GUY P CENTRAL INDEX KEY: 0001198330 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36754 FILM NUMBER: 141236642 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Alta Partners Management VIII, LLC CENTRAL INDEX KEY: 0001399894 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36754 FILM NUMBER: 141236643 BUSINESS ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: 415-362-4022 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER, SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: JANNEY DANIEL CENTRAL INDEX KEY: 0001198325 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36754 FILM NUMBER: 141236644 MAIL ADDRESS: STREET 1: ONE EMBARCADERO CENTER SUITE 3700 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 3 1 doc3.xml FORM 3 SUBMISSION X0206 3 2014-11-19 0 0001618835 Neothetics, Inc. NEOT 0001198325 JANNEY DANIEL ONE EMBARCADERO CENTER SUITE 3700 SAN FRANCISCO CA 94111 1 0 1 0 0001399894 Alta Partners Management VIII, LLC ONE EMBARCADERO CENTER SUITE 3700 SAN FRANCISCO CA 94111 0 0 1 0 0001198330 NOHRA GUY P ONE EMBARCADERO CENTER SUITE 3700 SAN FRANCISCO CA 94111 0 0 1 0 0001198321 CHAMPSI FARAH ONE EMBARCADERO CENTER SUITE 3700 SAN FRANCISCO CA 94111 0 0 1 0 0001399763 Alta Partners VIII, L.P. ONE EMBARCADERO CENTER SUITE 3700 SAN FRANCISCO CA 94111 0 0 1 0 Common Stock 3934 I Alta Partners VIII, LP Series A Preferred Stock Common Stock 750000 I Alta Partners VIII, LP Series B Preferred Stock Common Stock 6216215 I Alta Partners VIII, LP Series B-2 Preferred Stock Common Stock 2201220 I Alta Partners VIII, LP Series C Preferred Stock Common Stock 4489065 I Alta Partners VIII, LP Warrant 1.85 2011-09-30 2018-09-30 Series B-2 Preferred Stock 432432 I Alta Partners VIII, LP Warrant 1.40 2011-12-01 2018-12-01 Series C Preferred Stock 707142 I Alta Partners VIII, LP Warrant 1.40 2012-07-25 2019-07-25 Series C Preferred Stock 214285 I Alta Partners VIII, LP The securities are held by Alta Partners VIII, L.P. ("APVIII"). Alta Partners Manegment VIII, LLC ("APMVIII") is the general partner of APVIII. Guy Nohra, Daniel Janney and Farah Champsi are managing directors of APMVIII and exercise shared voting and investment power with respect to the shares owned by APVIII. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Immediately prior to but contingent upon the closing of the initial public offering of the Issuer's Common Stock, all outstanding shares of Preferred Stock will be automatically converted, for no additional consideration, into shares of the Issuer's Common Stock. The Preferred Stock will convert pursuant to the applicable conversion ratio, as listed in the Amended and Restated Certificate of Incorporation of the Issuer, and reflect a 6.1-for-1 stock split of the Issuer's Common Stock which occurred on November 7, 2014. /s/ Daniel Janney 2014-11-19 Larry Randall, CFO 2014-11-18 Guy Nohra 2014-11-19 Farah Champsi 2014-11-19 Larry Randall, CFO 2014-11-19