0001209191-18-050737.txt : 20180912 0001209191-18-050737.hdr.sgml : 20180912 20180912210059 ACCESSION NUMBER: 0001209191-18-050737 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180910 FILED AS OF DATE: 20180912 DATE AS OF CHANGE: 20180912 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Shah Nimish P CENTRAL INDEX KEY: 0001698082 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36845 FILM NUMBER: 181067805 BUSINESS ADDRESS: BUSINESS PHONE: 650-475-3734 MAIL ADDRESS: STREET 1: 7 BRYANT PARK STREET 2: 23RD FLOOR CITY: NEW YORK CITY STATE: NY ZIP: 10018 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VHCP Management III, LLC CENTRAL INDEX KEY: 0001738053 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36845 FILM NUMBER: 181067806 BUSINESS ADDRESS: STREET 1: 3340 HILLVIEW AVE CITY: PALO ALTO STATE: CA ZIP: 94304 BUSINESS PHONE: (650) 561-9580 MAIL ADDRESS: STREET 1: 3340 HILLVIEW AVE CITY: PALO ALTO STATE: CA ZIP: 94304 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VHCP Co-Investment Holdings III, LLC CENTRAL INDEX KEY: 0001750761 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36845 FILM NUMBER: 181067807 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 Healthcare Capital Partners III, L.P. CENTRAL INDEX KEY: 0001738048 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36845 FILM NUMBER: 181067808 BUSINESS ADDRESS: STREET 1: 530 FIFTH AVENUE, 22ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 212-444-4100 MAIL ADDRESS: STREET 1: 530 FIFTH AVENUE, 22ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10036 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: 181067809 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 2018-09-10 0 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 0001738048 Venrock Healthcare Capital Partners III, L.P. C/O VENROCK 3340 HILLVIEW AVENUE PALO ALTO CA 94304 0 0 1 0 0001750761 VHCP Co-Investment Holdings III, LLC C/O VENROCK 3340 HILLVIEW AVENUE PALO ALTO CA 94304 0 0 1 0 0001738053 VHCP Management III, LLC C/O VENROCK 3340 HILLVIEW AVENUE PALO ALTO CA 94304 0 0 1 0 0001698082 Shah Nimish P C/O VENROCK 3340 HILLVIEW AVENUE PALO ALTO CA 94304 0 0 1 0 Common Stock 2018-09-10 4 P 0 200000 1.2182 A 6901163 I By funds Common Stock 2018-09-11 4 P 0 200000 1.1442 A 7101163 I By funds Common Stock 2018-09-12 4 P 0 75000 1.1455 A 7176163 I By funds This Form 4 is the second 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. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.2099 to $1.2265, inclusive. The Reporting Person undertakes to provide to 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 the ranges set forth herein. Consists of (i) 181,820 shares purchased by Venrock Healthcare Capital Partners III, LP and (ii) 18,180 shares purchased by VHCP Co-Investment Holdings III, LLC. 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. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.10894 to $1.1990, inclusive. The Reporting Person undertakes to provide to 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 the ranges set forth herein. Consists of (i) 68,183 shares purchased by Venrock Healthcare Capital Partners III, LP and (ii) 6,817 shares purchased by VHCP Co-Investment Holdings III, LLC. David L. Stepp, Authorized Signatory 2018-09-12 David L. Stepp, Authorized Signatory 2018-09-12 David L. Stepp, Authorized Signatory 2018-09-12 David L. Stepp, Authorized Signatory 2018-09-12 David L. Stepp, Attorney-in-fact 2018-09-12