0001119517-12-000001.txt : 20120327 0001119517-12-000001.hdr.sgml : 20120327 20120327203900 ACCESSION NUMBER: 0001119517-12-000001 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120327 FILED AS OF DATE: 20120327 DATE AS OF CHANGE: 20120327 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VENROCK ASSOCIATES III LP CENTRAL INDEX KEY: 0001119517 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35469 FILM NUMBER: 12718456 BUSINESS ADDRESS: STREET 1: 30 ROCKEFELLER PLAZA STREET 2: RM 5508 CITY: NEW YORK STATE: NY ZIP: 10112 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VEF MANAGEMENT III LLC CENTRAL INDEX KEY: 0001239246 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35469 FILM NUMBER: 12718452 MAIL ADDRESS: STREET 1: C/O VENROCK ASSOCIATES STREET 2: 30 ROCKFELLER PLACA RM 5508 CITY: NEW YORK STATE: NY ZIP: 10112 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VENROCK MANAGEMENT III LLC CENTRAL INDEX KEY: 0001239247 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35469 FILM NUMBER: 12718453 MAIL ADDRESS: STREET 1: C/O VENROCK ASSOCIATES STREET 2: 30 ROCKFELLER PLACA RM 5508 CITY: NEW YORK STATE: NY ZIP: 10112 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VENROCK ENTREPRENEURS FUND III LP CENTRAL INDEX KEY: 0001141515 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35469 FILM NUMBER: 12718454 BUSINESS ADDRESS: STREET 1: C/O VENROCK ASSOCIATES ROOM 5508 STREET 2: 30 ROCKEFELLER PLAZA CITY: NEW YORK STATE: NY ZIP: 10112 BUSINESS PHONE: 212-649-5600 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: VOCERA COMMUNICATIONS, INC. CENTRAL INDEX KEY: 0001129260 STANDARD INDUSTRIAL CLASSIFICATION: COMMUNICATIONS EQUIPMENT, NEC [3669] IRS NUMBER: 943354663 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 525 RACE STREET STREET 2: SUITE 150 CITY: SAN JOSE STATE: CA ZIP: 95126-3495 BUSINESS PHONE: 408-882-5100 MAIL ADDRESS: STREET 1: 525 RACE STREET STREET 2: SUITE 150 CITY: SAN JOSE STATE: CA ZIP: 95126-3495 FORMER COMPANY: FORMER CONFORMED NAME: VOCERA COMMUNICATIONS INC DATE OF NAME CHANGE: 20001204 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VENROCK ASSOCIATES CENTRAL INDEX KEY: 0000937889 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-35469 FILM NUMBER: 12718455 BUSINESS ADDRESS: STREET 1: ROOM 5508 STREET 2: 30 ROCKEFELLER PLAZA CITY: NEW YORK STATE: NY ZIP: 10112 BUSINESS PHONE: 2126495600 MAIL ADDRESS: STREET 1: ROOM 5508 STREET 2: 30 ROCKEFELLER PLAZA CITY: NEW YORK STATE: NY ZIP: 10112 3 1 edgar.xml PRIMARY DOCUMENT X0205 3 2012-03-27 0 0001129260 VOCERA COMMUNICATIONS, INC. VCRA 0001119517 VENROCK ASSOCIATES III LP C/O VENROCK 3340 HILLVIEW AVE. PALO ALTO CA 94304 0 0 1 0 0000937889 VENROCK ASSOCIATES C/O VENROCK 3340 HILLVIEW AVE. PALO ALTO CA 94304 0 0 1 0 0001141515 VENROCK ENTREPRENEURS FUND III LP C/O VENROCK 3340 HILLVIEW AVE. PALO ALTO CA 94304 0 0 1 0 0001239247 VENROCK MANAGEMENT III LLC C/O VENROCK 3340 HILLVIEW AVE. PALO ALTO CA 94304 0 0 1 0 0001239246 VEF MANAGEMENT III LLC C/O VENROCK 3340 HILLVIEW AVE. PALO ALTO CA 94304 0 0 1 0 Series C Convertible Preferred Stock Common Stock 2105262 I By Funds Series D Convertible Preferred Stock Common Stock 421214 I By Funds Series E Convertible Preferred Stock Common Stock 113811 I By Funds Series F Convertible Preferred Stock Common Stock 222317 I By Funds Series E Convertible Pref St Purchase Warrant (right to buy) 6.61 2015-10-19 Series E Convertible Preferred Stock 34142 I By Funds The Series C Convertible Preferred Stock ("Series C Preferred") is convertible into Common Stock on a one-for-one basis at any time at the holder's election and has no expiration date. Consists of (i) 1,684,210 shares of Series C Preferred held by Venrock Associates III, L.P. ("VA III"), (ii) 378,947 shares of Series C Preferred held by Venrock Associates ("VA"), and (iii) 42,105 shares of Series C Preferred held by Venrock Entrepreneurs Fund III, L.P. ("VEF III"). Venrock Management III, LLC ("VM III") is the general partner of VA III. VEF Management III, LLC ("VEFM") is the general partner of VEF III. VM III and VEFM disclaim beneficial ownership of these securities except to the extent of their pro-rata pecuniary interest therein. The Series D Convertible Preferred Stock ("Series D Preferred") is convertible into Common Stock on a one-for-one basis at any time at the holder's election and has no expiration date. Consists of (i) 336,972 shares of Series D Preferred held by VA III, (ii) 75,818 shares of Series D Preferred held by VA, and (iii) 8,424 shares of Series D Preferred held by VEF III. VM III is the general partner of VA III. VEFM is the general partner of VEF III. VM III and VEFM disclaim beneficial ownership of these securities except to the extent of their pro-rata pecuniary interest therein. The Series E Convertible Preferred Stock ("Series E Preferred") is convertible into Common Stock on a one-for-one basis at any time at the holder's election and has no expiration date. Consists of (i) 91,049 shares of Series E Preferred held by VA III, (ii) 20,486 shares of Series E Preferred held by VA, and (iii) 2,276 shares of Series E Preferred held by VEF III. VM III is the general partner of VA III. VEFM is the general partner of VEF III. VM III and VEFM disclaim beneficial ownership of these securities except to the extent of their pro-rata pecuniary interest therein. The Series F Convertible Preferred Stock ("Series F Preferred") is convertible into Common Stock on a one-for-one basis at any time at the holder's election and has no expiration date. Consists of (i) 177,854 shares of Series F Preferred held by VA III, (ii) 40,017 shares of Series F Preferred held by VA, and (iii) 4,446 shares of Series F Preferred held by VEF III. VM III is the general partner of VA III. VEFM is the general partner of VEF III. VM III and VEFM disclaim beneficial ownership of these securities except to the extent of their pro-rata pecuniary interest therein. Immediately exercisable. Consists of (i) 27,315 shares of Series E Preferred issuable upon the exercise of warrants held by VA III, (ii) 6,145 shares of Series E Preferred issuable upon the exercise of warrants held by VA, and (iii) 682 shares of Series E Preferred issuable upon the exercise of warrants held by VEF III. VM III is the general partner of VA III. VEFM is the general partner of VEF III. VM III and VEFM disclaim beneficial ownership of these securities except to the extent of their pro-rata pecuniary interest therein. /s/ David L. Stepp, authorized signatory 2012-03-27