0000950142-16-002986.txt : 20160205 0000950142-16-002986.hdr.sgml : 20160205 20160205161601 ACCESSION NUMBER: 0000950142-16-002986 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20151231 FILED AS OF DATE: 20160205 DATE AS OF CHANGE: 20160205 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TRANSENTERIX INC. CENTRAL INDEX KEY: 0000876378 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 112962080 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 635 DAVIS DRIVE STREET 2: SUITE 300 CITY: MORRISVILLE STATE: NC ZIP: 27560 BUSINESS PHONE: 919-765-8400 MAIL ADDRESS: STREET 1: 635 DAVIS DRIVE STREET 2: SUITE 300 CITY: MORRISVILLE STATE: NC ZIP: 27560 FORMER COMPANY: FORMER CONFORMED NAME: SafeStitch Medical, Inc. DATE OF NAME CHANGE: 20080211 FORMER COMPANY: FORMER CONFORMED NAME: CELLULAR TECHNICAL SERVICES CO INC DATE OF NAME CHANGE: 19930328 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Purcell Dennis J CENTRAL INDEX KEY: 0001297291 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19437 FILM NUMBER: 161392405 MAIL ADDRESS: STREET 1: AUXILIUM PHARMACEUTICALS, INC. STREET 2: 160 WEST GERMANTOWN PIKE CITY: NORRISTOWN STATE: PA ZIP: 19401 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHIFF ANDREW N CENTRAL INDEX KEY: 0001172252 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19437 FILM NUMBER: 161392406 MAIL ADDRESS: STREET 1: PLANET ZANETT INC STREET 2: 135 E 57TH ST CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: SCHIFF DR DREW DATE OF NAME CHANGE: 20020426 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ELMS STEVE CENTRAL INDEX KEY: 0001250195 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19437 FILM NUMBER: 161392407 MAIL ADDRESS: STREET 1: 888 SEVENTH AVE STREET 2: 29TH FL CITY: NEW YORK STATE: NY ZIP: 10106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Aisling Capital Partners III LP CENTRAL INDEX KEY: 0001532634 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19437 FILM NUMBER: 161392408 BUSINESS ADDRESS: STREET 1: AISLING CAPITAL LLC STREET 2: 888 SEVENTH AVENUE 30TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10106 BUSINESS PHONE: 212-651-6380 MAIL ADDRESS: STREET 1: AISLING CAPITAL LLC STREET 2: 888 SEVENTH AVENUE 30TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Aisling Capital Partners III LLC CENTRAL INDEX KEY: 0001532635 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19437 FILM NUMBER: 161392409 BUSINESS ADDRESS: STREET 1: AISLING CAPITAL LLC STREET 2: 888 SEVENTH AVENUE 30TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10106 BUSINESS PHONE: 212-651-6380 MAIL ADDRESS: STREET 1: AISLING CAPITAL LLC STREET 2: 888 SEVENTH AVENUE 30TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AISLING CAPITAL III LP CENTRAL INDEX KEY: 0001444717 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-19437 FILM NUMBER: 161392410 BUSINESS ADDRESS: STREET 1: 888 Seventh Avenue, 30th Fl CITY: New York STATE: NY ZIP: 10106 BUSINESS PHONE: 212-651-6380 MAIL ADDRESS: STREET 1: 888 Seventh Avenue, 30th Fl CITY: New York STATE: NY ZIP: 10106 5 1 es1600209_5-transent.xml OWNERSHIP DOCUMENT X0306 5 2015-12-31 1 0 0 0000876378 TRANSENTERIX INC. TRXC 0001444717 AISLING CAPITAL III LP 888 SEVENTH AVENUE, 12TH FLOOR NEW YORK NY 10106 0 0 0 1 Former 10% Owner 0001532635 Aisling Capital Partners III LLC C/O AISLING CAPITAL LLC 888 SEVENTH AVENUE, 12TH FLOOR NEW YORK NY 10106 0 0 0 1 Former 10% Owner 0001532634 Aisling Capital Partners III LP C/O AISLING CAPITAL LLC 888 SEVENTH AVENUE, 12TH FLOOR NEW YORK NY 10106 0 0 0 1 Former 10% Owner 0001250195 ELMS STEVE C/O AISLING CAPITAL LLC 888 SEVENTH AVENUE, 12TH FLOOR NEW YORK NY 10106 0 0 0 1 Former 10% Owner 0001172252 SCHIFF ANDREW N C/O AISLING CAPITAL LLC 888 SEVENTH AVENUE, 12TH FLOOR NEW YORK NY 10106 0 0 0 1 Former 10% Owner 0001297291 Purcell Dennis J C/O AISLING CAPITAL LLC 888 SEVENTH AVENUE, 12TH FLOOR NEW YORK NY 10106 0 0 0 1 Former 10% Owner Common Stock 8335819 I By Aisling Capital III, LP On March 31, 2014, the Issuer implemented a reverse stock split of its common stock at a ratio of 1-for-5. These shares of common stock are owned directly by Aisling, and held indirectly by Aisling Capital Partners III, LP ("Aisling GP"), as general partner of Aisling, Aisling Capital Partners III LLC ("Aisling Partners"), as general partner of Aisling GP, and each of the individual managing members of Aisling Partners. The individual managing members (collectively, the "Managers") of Aisling Partners are Dennis Purcell, Dr. Andrew Schiff and Steve Elms. Aisling GP, Aisling Partners and the Managers share voting and dispositive power over the shares directly held by Aisling. (cont'd in FN 3) (cont'd from FN 2) Pursuant to Rule 16a-1(a)(2)(ii)(B) under the Securities Exchange Act of 1934, as amended (the "Act"), each of the Reporting Persons may be deemed to be the beneficial owner of the securities reported herein only to the extent of its pecuniary interest therein. Pursuant to Rule 16a-1(a)(4) under the Act, this filing shall not be deemed an admission that the any of the Reporting Persons is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities reported herein in excess of such amount. See Signatures on Exhibit 99.1 2016-02-05 EX-99.1 2 es1600209_ex9901.htm EXHIBIT 99.1 Unassociated Document
EXHIBIT 99.1

FORM 4 JOINT FILER INFORMATION

Names of Joint Filers:
 
Aisling Capital III, LP
Aisling Capital Partners III, LP
Aisling Capital Partners III LLC
Steve Elms
Andrew N. Schiff, M.D.
Dennis J. Purcell

Address of Joint Filers:
c/o Aisling Capital Partners LLC
888 Seventh Avenue
New York, NY 10106
 
Designated Filer: Aisling Capital III, LP
Issuer and Ticker Symbol: TransEnterix, Inc. [TRXC]
Signatures of Joint Filers:
 

AISLING CAPITAL III, LP
   
By:
Aisling Capital Partners III, LP
 
General Partner
   
By:
Aisling Capital Partners III LLC
 
General Partner
   
By:
/s/ Lloyd Appel
 
Name: Lloyd Appel
 
Title: CFO
   
 
AISLING CAPITAL PARTNERS III, LP
   
By:
Aisling Capital Partners III LLC
 
General Partner
   
By:
/s/ Lloyd Appel
 
Name: Lloyd Appel
 
Title: CFO
   
 
AISLING CAPITAL PARTNERS III LLC
   
By:
/s/ Lloyd Appel
 
Name: Lloyd Appel
 
Title: CFO
   
 
/s/ Steve Elms
Steve Elms
 
/s/ Andrew Schiff
Andrew Schiff
 
/s/ Dennis Purcell
Dennis Purcell