Ocera Therapeutics, Inc.
|
(Name of Issuer)
|
Common Stock, par value $0.00001 per share |
(Title of Class of Securities)
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67552A108
|
(CUSIP Number)
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December 31, 2014
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(Date of Event which Requires Filing of this Statement)
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CUSIP No. 67552A108
|
1
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Names of Reporting Persons
Vivo Ventures VI, LLC
|
||
2
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Check the appropriate box if a member of a Group (see instructions)
(a) o
(b) o
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||
3
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Sec Use Only
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||
4
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Citizenship or Place of Organization
Delaware
|
||
Number of
Shares
Beneficially
Owned by Each
Reporting Person
With:
|
5
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Sole Voting Power
|
|
6
|
Shared Voting Power
89,812
|
||
7
|
Sole Dispositive Power
|
||
8
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Shared Dispositive Power
89,812
|
||
9
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Aggregate Amount Beneficially Owned by Each Reporting Person
89,812
|
||
10
|
Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)
o
|
||
11
|
Percent of class represented by amount in row (9)
0.45%
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||
12
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Type of Reporting Person (See Instructions)
OO
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CUSIP No. 67552A108
|
1
|
Names of Reporting Persons
Vivo Ventures Fund VI, L.P.
|
||
2
|
Check the appropriate box if a member of a Group (see instructions)
(a) o
(b) o
|
||
3
|
Sec Use Only
|
||
4
|
Citizenship or Place of Organization
Delaware
|
||
Number of
Shares
Beneficially
Owned by Each
Reporting Person
With:
|
5
|
Sole Voting Power
|
|
6
|
Shared Voting Power
89,155
|
||
7
|
Sole Dispositive Power
|
||
8
|
Shared Dispositive Power
89,155
|
||
9
|
Aggregate Amount Beneficially Owned by Each Reporting Person
89,155
|
||
10
|
Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)
o
|
||
11
|
Percent of class represented by amount in row (9)
0.45%
|
||
12
|
Type of Reporting Person (See Instructions)
PN
|
CUSIP No. 67552A108
|
1
|
Names of Reporting Persons
Vivo Ventures VI Affiliates Fund, L.P.
|
||
2
|
Check the appropriate box if a member of a Group (see instructions)
(a) o
(b) o
|
||
3
|
Sec Use Only
|
||
4
|
Citizenship or Place of Organization
Delaware
|
||
Number of
Shares
Beneficially
Owned by Each
Reporting Person
With:
|
5
|
Sole Voting Power
|
|
6
|
Shared Voting Power
657
|
||
7
|
Sole Dispositive Power
|
||
8
|
Shared Dispositive Power
657
|
||
9
|
Aggregate Amount Beneficially Owned by Each Reporting Person
657
|
||
10
|
Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)
o
|
||
11
|
Percent of class represented by amount in row (9)
0%
|
||
12
|
Type of Reporting Person (See Instructions)
PN
|
CUSIP No. 67552A108
|
1
|
Names of Reporting Persons
Vivo Ventures VII, LLC
|
||
2
|
Check the appropriate box if a member of a Group (see instructions)
(a) o
(b) o
|
||
3
|
Sec Use Only
|
||
4
|
Citizenship or Place of Organization
Delaware
|
||
Number of
Shares
Beneficially
Owned by Each
Reporting Person
With:
|
5
|
Sole Voting Power
|
|
6
|
Shared Voting Power
359,265
|
||
7
|
Sole Dispositive Power
|
||
8
|
Shared Dispositive Power
359,265
|
||
9
|
Aggregate Amount Beneficially Owned by Each Reporting Person
359,265
|
||
10
|
Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)
o
|
||
11
|
Percent of class represented by amount in row (9)
1.81%
|
||
12
|
Type of Reporting Person (See Instructions)
OO
|
CUSIP No. 67552A108
|
1
|
Names of Reporting Persons
Vivo Ventures Fund VII, L.P.
|
||
2
|
Check the appropriate box if a member of a Group (see instructions)
(a) o
(b) o
|
||
3
|
Sec Use Only
|
||
4
|
Citizenship or Place of Organization
Delaware
|
||
Number of
Shares
Beneficially
Owned by Each
Reporting Person
With:
|
5
|
Sole Voting Power
|
|
6
|
Shared Voting Power
351,599
|
||
7
|
Sole Dispositive Power
|
||
8
|
Shared Dispositive Power
351,599
|
||
9
|
Aggregate Amount Beneficially Owned by Each Reporting Person
351,599
|
||
10
|
Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)
o
|
||
11
|
Percent of class represented by amount in row (9)
1.77%
|
||
12
|
Type of Reporting Person (See Instructions)
PN
|
CUSIP No. 67552A108
|
1
|
Names of Reporting Persons
Vivo Ventures VII Affiliates Fund, L.P.
|
||
2
|
Check the appropriate box if a member of a Group (see instructions)
(a) o
(b) o
|
||
3
|
Sec Use Only
|
||
4
|
Citizenship or Place of Organization
Delaware
|
||
Number of
Shares
Beneficially
Owned by Each
Reporting Person
With:
|
5
|
Sole Voting Power
|
|
6
|
Shared Voting Power
7,666
|
||
7
|
Sole Dispositive Power
|
||
8
|
Shared Dispositive Power
7,666
|
||
9
|
Aggregate Amount Beneficially Owned by Each Reporting Person
7,666
|
||
10
|
Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)
o
|
||
11
|
Percent of class represented by amount in row (9)
0.04%
|
||
12
|
Type of Reporting Person (See Instructions)
PN
|
(a)
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Name of Issuer:
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(b)
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Address of Issuer’s Principal Executive Offices:
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(a)
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Name of Person Filing:
|
(i)
|
Vivo Ventures VI, LLC, a Delaware limited liability company (“Vivo VI”), as the sole general partner of Vivo Ventures Fund VI, L.P. (“VV Fund VI”) and Vivo Ventures VI Affiliates Fund, L.P. (“Affiliates Fund VI”), with respect to shares held by VV Fund VI and Affiliates Fund VI;
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(ii)
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Vivo Ventures Fund VI, L.P., a Delaware limited partnership with respect to shares held by it; |
(iii)
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Vivo Ventures VI Affiliates Fund, L.P., a Delaware limited partnership, with respect to shares held by it; |
(iv)
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Vivo Ventures VII, LLC, a Delaware limited liability company (“Vivo VII”), as the sole general partner of Vivo Ventures Fund VII, L.P. (“VV Fund VII”) and Vivo Ventures VII Affiliates Fund, L.P. (“Affiliates Fund VII”), with respect to shares held by VV Fund VII and Affiliates Fund VII; |
(v)
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Vivo Ventures Fund VII, L.P., a Delaware limited partnership, with respect to shares held by it; |
(vi)
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Vivo Ventures VII Affiliates Fund, L.P., a Delaware limited partnership, with respect to shares held by it. The foregoing persons are herein referred to collectively as the “Reporting Persons.” |
(b)
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Address of Principal Business Office or, if None, Residence: |
575 High Street, Suite 201, Palo Alto, CA 94301
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(c)
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Citizenship:
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(d)
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Title and Class of Securities:
|
(e)
|
CUSIP No.:
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Item 3.
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If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
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(a)
|
o
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Broker or dealer registered under Section 15 of the Act;
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(b)
|
o
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Bank as defined in Section 3(a)(6) of the Act;
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(c)
|
o
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Insurance company as defined in Section 3(a)(19) of the Act;
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(d)
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o
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Investment company registered under Section 8 of the Investment Company Act of 1940;
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(e)
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o
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An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
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(f)
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o
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An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);
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(g)
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o
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A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);
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(h)
|
o
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A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
|
o
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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940;
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(j)
|
o
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A non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J);
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(k)
|
o
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Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution:
|
(a)
|
Amount Beneficially Owned:
|
(b)
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Percent of Class:
|
(c)
|
Number of shares as to which such person has:
|
|
(i)
|
Sole power to vote or to direct the vote:
|
|
(ii)
|
Shared power to vote or to direct the vote:
|
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(iii)
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Sole power to dispose or to direct the disposition of:
|
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(iv)
|
Shared power to dispose or to direct the disposition of:
|
Item 5.
|
Ownership of Five Percent or Less of a Class. |
Item 6.
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Ownership of more than Five Percent on Behalf of Another Person.
|
Item 7.
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Identification and classification of the subsidiary which acquired the security being reported on by the parent holding company or control person.
|
Item 8.
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Identification and classification of members of the group. |
Item 9.
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Notice of Dissolution of Group. |
Item 10.
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Certifications. |
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11.
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VIVO VENTURES VI, LLC | ||
By: |
/s/ Frank Kung
|
|
Name: |
Frank Kung
|
|
Title: | Managing Member | |
VIVO VENTURES FUND VI, L.P. | ||
By: Vivo Ventures VI, LLC, its general partner | ||
By: |
/s/ Frank Kung
|
|
Name: |
Frank Kung
|
|
Title: |
Managing Member
|
|
VIVO VENTURES VI AFFILIATES FUND, L.P. | ||
By: Vivo Ventures VI, LLC, its general partner | ||
By: |
/s/ Frank Kung
|
|
Name: |
Frank Kung
|
|
Title: | Managing Member |
VIVO VENTURES VII, LLC
|
||
By: |
/s/ Frank Kung
|
|
Name: |
Frank Kung
|
|
Title: | Managing Member | |
VIVO VENTURES FUND VII, L.P. | ||
By: Vivo Ventures VII, LLC, its general partner | ||
By: |
/s/ Frank Kung
|
|
Name: |
Frank Kung
|
|
Title: |
Managing Member
|
VIVO VENTURES VII AFFILIATES FUND, L.P.
|
||
By: Vivo Ventures VII, LLC, its general partner
|
||
By: |
/s/ Frank Kung
|
|
Name: |
Frank Kung
|
|
Title: | Managing Member |