0000899243-18-003902.txt : 20180214 0000899243-18-003902.hdr.sgml : 20180214 20180214175440 ACCESSION NUMBER: 0000899243-18-003902 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180214 DATE AS OF CHANGE: 20180214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Castelein Caley CENTRAL INDEX KEY: 0001355758 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-53057 FILM NUMBER: 18614411 MAIL ADDRESS: STREET 1: THOM. WEISEL HEALTHCARE VENTURES STREET 2: ONE MONTGOMERY STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94104 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Aerpio Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0001422142 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 611547850 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 9987 CARVER ROAD CITY: CINCINNATI STATE: OH ZIP: 45242 BUSINESS PHONE: (513) 985-1920 MAIL ADDRESS: STREET 1: 9987 CARVER ROAD CITY: CINCINNATI STATE: OH ZIP: 45242 FORMER COMPANY: FORMER CONFORMED NAME: ZETA ACQUISITION CORP II DATE OF NAME CHANGE: 20071227 5 1 doc5.xml FORM 5 SUBMISSION X0306 5 2017-12-31 0 0 1 0001422142 Aerpio Pharmaceuticals, Inc. ARPO 0001355758 Castelein Caley C/O AERPIO PHARMACEUTICALS, INC., 9987 CARVER ROAD, SUITE 420 CINCINNATI OH 25242 1 0 0 0 Common Stock 2017-12-22 4 J 0 7882 0.00 D 1603526 I See Footnote Common Stock 2017-12-22 4 J 0 10920 0.00 A 10920 I See Footnote Consists of (i) 1,571,475 shares of Common Stock owned directly by Kearny Venture Partners, L.P., or KVP, and (ii) 32,051 shares of Common Stock owned directly by Kearny Venture Partners Entrepreneurs Fund, L.P., or KVPE. The general partner of both KVP and KVPE is Kearny Venture Associates, L.L.C., or KVA. KVA has the sole voting and investment control over the shares owned by KVP and KVPE. The Managing Members of KVA share in the voting and investment control over such shares controlled by KVA. The Managing Members of KVA are Caley Castelein, Richard Spalding and James Shapiro. None of the Managing Members of KVA has individual voting or investment power with respect to such shares and each disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein. On December 22, 2017, Revelation TWHVP, LLC and TWHPV SPV, LLC, or the TWHVP entities, (Continued from footnote 1) were liquidated and their shares distributed on a pro rata basis to their members. Prior to this liquidation, Kearny Venture Associates II, LLC, or KVA II, was the Managing Member of the TWHVP entities. The Managing Members of KVA II were Caley Castelein, Andrew Jensen and Anupam Dalal. None of the Managing Members of KVA II had individual voting or investment power with respect to such shares and each disclaims past beneficial ownership of such shares except to the extent of any pecuniary interest therein. Consists of 10,920 shares of Common Stock distributed to Caley Castelein pursuant to the liquidation of the TWHVP entities. /s/ Caley Castelein 2018-02-14