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