0001209191-19-054264.txt : 20191028
0001209191-19-054264.hdr.sgml : 20191028
20191028171557
ACCESSION NUMBER: 0001209191-19-054264
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191024
FILED AS OF DATE: 20191028
DATE AS OF CHANGE: 20191028
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VHCP Management II, LLC
CENTRAL INDEX KEY: 0001602263
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36845
FILM NUMBER: 191173827
BUSINESS ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
BUSINESS PHONE: 650 475 3734
MAIL ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VHCP Co-Investment Holdings II, LLC
CENTRAL INDEX KEY: 0001615983
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36845
FILM NUMBER: 191173828
BUSINESS ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
BUSINESS PHONE: 650-475-3734
MAIL ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Venrock Partners, L.P.
CENTRAL INDEX KEY: 0001305239
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36845
FILM NUMBER: 191173829
BUSINESS ADDRESS:
STREET 1: 3340 HILLVIEW AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94304
BUSINESS PHONE: 650-475-3734
MAIL ADDRESS:
STREET 1: 3340 HILLVIEW AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94304
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Venrock Partners Management, LLC
CENTRAL INDEX KEY: 0001305240
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36845
FILM NUMBER: 191173830
BUSINESS ADDRESS:
STREET 1: 3340 HILLVIEW AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94304
BUSINESS PHONE: 650-475-3734
MAIL ADDRESS:
STREET 1: 3340 HILLVIEW AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94304
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Venrock Management IV, LLC
CENTRAL INDEX KEY: 0001305238
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36845
FILM NUMBER: 191173831
BUSINESS ADDRESS:
STREET 1: 3340 HILLVIEW AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94304
BUSINESS PHONE: 650-475-3734
MAIL ADDRESS:
STREET 1: 3340 HILLVIEW AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94304
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Venrock Healthcare Capital Partners II, L.P.
CENTRAL INDEX KEY: 0001602264
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36845
FILM NUMBER: 191173832
BUSINESS ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
BUSINESS PHONE: 650 475 3734
MAIL ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Koh Bong Y
CENTRAL INDEX KEY: 0001615979
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36845
FILM NUMBER: 191173833
MAIL ADDRESS:
STREET 1: 7 BRYANT PARK
STREET 2: 23RD FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10018
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VEF Management IV, LLC
CENTRAL INDEX KEY: 0001305243
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36845
FILM NUMBER: 191173834
BUSINESS ADDRESS:
STREET 1: 3340 HILLVIEW AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94304
BUSINESS PHONE: 650-475-3734
MAIL ADDRESS:
STREET 1: 3340 HILLVIEW AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94304
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VENROCK ENTREPRENEURS FUND IV L P
CENTRAL INDEX KEY: 0001277994
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36845
FILM NUMBER: 191173835
BUSINESS ADDRESS:
STREET 1: 3340 HILLVIEW AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94304
BUSINESS PHONE: 650-475-3734
MAIL ADDRESS:
STREET 1: 3340 HILLVIEW AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94304
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VENROCK ASSOCIATES IV L P
CENTRAL INDEX KEY: 0001277997
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36845
FILM NUMBER: 191173836
BUSINESS ADDRESS:
STREET 1: 3340 HILLVIEW AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94304
BUSINESS PHONE: 650-475-3734
MAIL ADDRESS:
STREET 1: 3340 HILLVIEW AVENUE
CITY: PALO ALTO
STATE: CA
ZIP: 94304
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Bellerophon Therapeutics, Inc.
CENTRAL INDEX KEY: 0001600132
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 473116175
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 184 LIBERTY CORNER ROAD, SUITE 302
CITY: WARREN
STATE: NJ
ZIP: 07059
BUSINESS PHONE: 908-574-4770
MAIL ADDRESS:
STREET 1: 184 LIBERTY CORNER ROAD, SUITE 302
CITY: WARREN
STATE: NJ
ZIP: 07059
FORMER COMPANY:
FORMER CONFORMED NAME: Bellerophon Therapeutics LLC
DATE OF NAME CHANGE: 20140213
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2019-10-24
1
0001600132
Bellerophon Therapeutics, Inc.
BLPH
0001277997
VENROCK ASSOCIATES IV L P
C/O VENROCK
3340 HILLVIEW AVENUE
PALO ALTO
CA
94304
0
0
1
0
0001277994
VENROCK ENTREPRENEURS FUND IV L P
C/O VENROCK
3340 HILLVIEW AVENUE
PALO ALTO
CA
94304
0
0
1
0
0001305243
VEF Management IV, LLC
C/O VENROCK
3340 HILLVIEW AVENUE
PALO ALTO
CA
94304
0
0
1
0
0001615979
Koh Bong Y
C/O VENROCK
3340 HILLVIEW AVENUE
PALO ALTO
CA
94304
0
0
1
0
0001602264
Venrock Healthcare Capital Partners II, L.P.
C/O VENROCK
3340 HILLVIEW AVENUE
PALO ALTO
CA
94304
0
0
1
0
0001305238
Venrock Management IV, LLC
C/O VENROCK
3340 HILLVIEW AVENUE
PALO ALTO
CA
94304
0
0
1
0
0001305240
Venrock Partners Management, LLC
C/O VENROCK
3340 HILLVIEW AVENUE
PALO ALTO
CA
94304
0
0
1
0
0001305239
Venrock Partners, L.P.
C/O VENROCK
3340 HILLVIEW AVENUE
PALO ALTO
CA
94304
0
0
1
0
0001615983
VHCP Co-Investment Holdings II, LLC
C/O VENROCK
3340 HILLVIEW AVENUE
PALO ALTO
CA
94304
0
0
1
0
0001602263
VHCP Management II, LLC
C/O VENROCK
3340 HILLVIEW AVENUE
PALO ALTO
CA
94304
0
0
1
0
Common Stock
2019-10-24
4
S
0
704595
0.5015
D
6824425
I
By funds
Common Stock
2019-10-25
4
S
0
56242
0.4536
D
6768183
I
By funds
Common Stock
2019-10-28
4
S
0
333010
0.4387
D
6435173
I
By funds
This Form 4 is the first of two Form 4s being filed to report the beneficial ownership of the following Reporting Persons: Venrock Associates IV, LP, Venrock Partners, LP, Venrock Entrepreneurs Fund IV, LP, Venrock Management IV, LLC, Venrock Partners Management, LLC, VEF Management IV, LLC, Venrock Healthcare Capital Partners II, LP, VHCP Management II, LLC, VHCP Co Investment Holdings II, LLC, Venrock Healthcare Capital Partners III, LP, VHCP Management III, LLC, VHCP Co Investment Holdings III, LLC, Bong Koh and Nimish Shah. Two Form 4s are being filed because each form can report a maximum of 10 reporting persons.
Consists of: 316,797 shares sold by Venrock Healthcare Capital Partners II, LP, 128,431 shares sold by VHCP Co-Investment Holdings II, LLC, 235,791 shares sold by Venrock Healthcare Capital Partners III, LP and 23,576 shares sold by VHCP Co-Investment Holdings III, LLC.
The price in Column 4 is a weighted average price. These shares were sold in multiple transactions a prices within a range of $1.00. The Reporting Persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within this range.
Venrock Management IV, LLC ("VM4") is the general partner of Venrock Associates IV, LP. Venrock Partners Management, LLC ("VPM") is the general partner of Venrock Partners, LP. VEF Management IV, LLC ("VEFM") is the general partner of Venrock Entrepreneurs Fund IV, LP. VHCP Management II, LLC ("VHCPM2") is the general partner of Venrock Healthcare Capital Partners II, LP and the manager of VHCP Co-Investment Holdings II, LLC. VHCP Management III, LLC ("VHCPM3") is the general partner of Venrock Healthcare Capital Partners III, LP and the manager of VHCP Co-Investment Holdings III, LLC. Bong Koh and Nimish Shah are the managing members of VHCPM2 and VHCPM3. Each of VM4, VPM, VEFM, VHCPM2, VHCPM3, Bong Koh and Nimish Shah (together, the "Managers") may be deemed to beneficially own these shares. Each of the Managers expressly disclaims beneficial ownership over these shares except to the extent of their indirect pecuniary interests therein.
Consists of: 25,287 shares sold by Venrock Healthcare Capital Partners II, LP, 10,252 shares sold by VHCP Co-Investment Holdings II, LLC, 18,821 shares sold by Venrock Healthcare Capital Partners III, LP and 1,882 shares sold by VHCP Co-Investment Holdings III, LLC.
Consists of: 149,726 shares sold by Venrock Healthcare Capital Partners II, LP, 60,700 shares sold by VHCP Co-Investment Holdings II, LLC, 111,441 shares sold by Venrock Healthcare Capital Partners III, LP and 11,143 shares sold by VHCP Co-Investment Holdings III, LLC.
/s/ David L. Stepp, Authorized Signatory
2019-10-28
David L. Stepp, Authorized Signatory
2019-10-28
David L. Stepp, Authorized Signatory
2019-10-28
David L. Stepp, Attorney-in-fact
2019-10-28
David L. Stepp, Authorized Signatory
2019-10-28
David L. Stepp, Authorized Signatory
2019-10-28
David L. Stepp, Authorized Signatory
2019-10-28
David L. Stepp, Authorized Signatory
2019-10-28
David L. Stepp, Authorized Signatory
2019-10-28
David L. Stepp, Authorized Signatory
2019-10-28