0000947871-18-000541.txt : 20180702
0000947871-18-000541.hdr.sgml : 20180702
20180702165138
ACCESSION NUMBER: 0000947871-18-000541
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180628
FILED AS OF DATE: 20180702
DATE AS OF CHANGE: 20180702
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Khuong Chau Quang
CENTRAL INDEX KEY: 0001609405
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38560
FILM NUMBER: 18933399
MAIL ADDRESS:
STREET 1: C/O ORBIMED ADVISORS
STREET 2: 601 LEXINGTON AVENUE, 54TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
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
4
1
ss98059_4.xml
OWNERSHIP DOCUMENT
X0306
4
2018-06-28
0
0001422142
Aerpio Pharmaceuticals, Inc.
ARPO
0001609405
Khuong Chau Quang
C/O AERPIO PHARMACEUTICALS, INC.
9987 CARVER ROAD, SUITE 420
CINCINNATI
OH
25242
1
0
1
0
Common Stock
2018-06-28
4
P
0
777500
3.85
A
5193946
I
See Footnotes
These shares of the Issuer's common stock ("Shares") were purchased in a block order at a price of $3.85.
These Shares are held of record by OrbiMed Private Investments V, LP ("OPI V"). OrbiMed Capital GP V LLC ("GP V") is the general partner of OPI V, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP V. By virtue of such relationships, GP V and Advisors may be deemed to have voting and investment power over the securities held by OPI V and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the Shares held by OPI V.
Each of the Reporting Person, GP V and Advisors disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) of the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person, including the Reporting Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.
/s/ Chau Khuong
2018-07-02