UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| ||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
VENROCK HEALTHCARE CAPITAL PARTNERS LP 3340 HILLVIEW AVENUE PALO ALTO, CA 94306 |
 |  X |  |  |
VHCP Co-Investment Holdings, LLC 3340 HILLVIEW AVENUE PALO ALTO, CA 94306 |
 |  X |  |  |
Hove Anders D C/O VENROCK ASSOCIATES, 30 ROCKEFELLER PLAZA, ROOM 5508 NEW YORK, NY 10112 |
 |  X |  |  |
ROBERTS BRYAN E C/O VENROCK ASSOCIATES, 3340 HILLVIEW AVENUE PALO ALTO, CA 94306 |
 |  X |  |  |
VHCP Management, LLC 3340 HILLVIEW AVENUE PALO ALTO, CA 94306 |
 |  X |  |  |
/s/ David L. Stepp, Authorized Signatory | 01/04/2010 | |
**Signature of Reporting Person | Date | |
/s/ David L. Stepp, Authorized Signatory | 01/04/2010 | |
**Signature of Reporting Person | Date | |
/s/ David L. Stepp, as attorney-in-fact | 01/04/2010 | |
**Signature of Reporting Person | Date | |
/s/ David L. Stepp, as attorney-in-fact | 01/04/2010 | |
**Signature of Reporting Person | Date | |
/s/ David L. Stepp, Authorized Signatory | 01/04/2010 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Consists of shares of common stock held directly by Venrock Healthcare Capital Partners, L.P. ("VHCP LP"). VHCP Management, LLC ("VHCP Management") is the general partner of VHCP LP and may be deemed to beneficially own these shares. Anders Hove and Bryan Roberts are the managing members of VHCP Management and may be deemed to beneficially own these shares. Each reporting person disclaims beneficial ownership of these shares except to the extent of his or its respective pecuniary interest therein. |
(2) | Consists of shares of common stock held directly by Venrock Co-Investment Holdings, LLC ("Venrock Co-Investment"). VHCP Management is the manager of Venrock Co-Investment and may be deemed to beneficially own these shares. Messrs. Hove and Roberts are the managing members of VHCP Management and may be deemed to beneficially own these shares. Each reporting person disclaims beneficial ownership of these shares except to the extent of his or its respective pecuniary interest therein. |