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