NephroGenex, Inc. Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 16 rows, 16 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2014-02-14: Reporting owner Rho Ventures V Affiliates, LLC | RUCH JOSHUA | RMV V, L.L.C. | Rho Ventures V, L.P. | KAIROUZ HABIB | Rho Capital Partners LLC | LESCHLY MARK; Form 4; Security Convertible Promissory Notes; Transaction C Conversion of derivative security.
- 2014-02-14: Reporting owner Rho Ventures V Affiliates, LLC | RUCH JOSHUA | RMV V, L.L.C. | Rho Ventures V, L.P. | KAIROUZ HABIB | Rho Capital Partners LLC | LESCHLY MARK; Form 4; Security Convertible Promissory Notes; Transaction C Conversion of derivative security.
- 2014-02-14: Reporting owner VOGELBAUM MARTIN; Form 4; Security Convertible Promissory Note; Transaction C Conversion of derivative security.
- 2014-02-14: Reporting owner VOGELBAUM MARTIN; Form 4; Security Convertible Promissory Note; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2014-02-14 | Rho Ventures V Affiliates, LLC | RUCH JOSHUA | RMV V, L.L.C. | Rho Ventures V, L.P. | KAIROUZ HABIB | Rho Capital Partners LLC | LESCHLY MARK Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Convertible Promissory Notes Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,215,268 0 owned after | no price filed | 2014-02-19 | |
| 2014-02-14 | Rho Ventures V Affiliates, LLC | RUCH JOSHUA | RMV V, L.L.C. | Rho Ventures V, L.P. | KAIROUZ HABIB | Rho Capital Partners LLC | LESCHLY MARK Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | Convertible Promissory Notes Derivative · Indirect · See Footnote | C Conversion of derivative security | −106,697 0 owned after | no price filed | 2014-02-19 | |
| 2014-02-14 | VOGELBAUM MARTIN Director | 4 | Convertible Promissory Note Derivative · Indirect · See footnote | C Conversion of derivative security | −1,215,268 0 owned after | no price filed | 2014-02-19 | |
| 2014-02-14 | VOGELBAUM MARTIN Director | 4 | Convertible Promissory Note Derivative · Indirect · See footnote | C Conversion of derivative security | −106,697 0 owned after | no price filed | 2014-02-19 | |
| 2014-02-14 | Seltzer Robert R. Director, 10% Owner | 4 | 8% Convertible Promissory Note Derivative · Indirect · See footnote | C Conversion of derivative security | −5,785,962 0 owned after | no price filed | 2014-02-19 | |
| 2014-02-14 | Markham Richard J Director, 10% Owner | 4 | 8% Convertible Promissory Note Derivative · Indirect · See footnote | C Conversion of derivative security | −5,785,962 0 owned after | no price filed | 2014-02-19 | |
| 2014-02-14 | Care Capital Investments III L.P. | Care Capital III LLC | Care Capital Offshore Investments III LP Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 4 | 8% Convertible Promissory Note Derivative · Indirect · See footnotes | C Conversion of derivative security | −5,785,962 0 owned after | no price filed | 2014-02-19 | |
| 2014-02-10 holding as of filing | VOGELBAUM MARTIN Director | 3 | Convertible Promissory Notes Derivative · Indirect · See Footnote | Holding | no price filed | 2014-02-10 | ||
| 2014-02-10 holding as of filing | VOGELBAUM MARTIN Director | 3 | Convertible Promissory Notes Derivative · Indirect · See Footnote | Holding | no price filed | 2014-02-10 | ||
| 2014-02-10 holding as of filing | Seltzer Robert R. Director | 3 | Convertible Promissory Note Derivative · Indirect · See footnote | Holding | no price filed | 2014-02-10 | ||
| 2014-02-10 holding as of filing | Seltzer Robert R. Director | 3 | Convertible Promissory Note Derivative · Indirect · See footnote | Holding | no price filed | 2014-02-10 | ||
| 2014-02-10 holding as of filing | Markham Richard J Director | 3 | Convertible Promissory Note Derivative · Indirect · See footnote | Holding | no price filed | 2014-02-10 | ||
| 2014-02-10 holding as of filing | Markham Richard J Director | 3 | Convertible Promissory Note Derivative · Indirect · See footnote | Holding | no price filed | 2014-02-10 | ||
| 2014-02-10 holding as of filing | Care Capital Offshore Investments III LP | Care Capital Investments III L.P. | Care Capital III LLC Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3 | 8% Convertible Promissory Notes Derivative · Indirect · See Footnote | Holding | no price filed | 2014-02-10 | ||
| 2014-02-10 holding as of filing | Rho Ventures V Affiliates, LLC | RUCH JOSHUA | LESCHLY MARK | KAIROUZ HABIB | Rho Capital Partners LLC | RMV V, L.L.C. | Rho Ventures V, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3 | Convertible Promissory Notes Derivative · Indirect · See Footnote | Holding | no price filed | 2014-02-10 | ||
| 2014-02-10 holding as of filing | Rho Ventures V Affiliates, LLC | RUCH JOSHUA | LESCHLY MARK | KAIROUZ HABIB | Rho Capital Partners LLC | RMV V, L.L.C. | Rho Ventures V, L.P. Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | Director, 10% Owner | 3 | Convertible Promissory Notes Derivative · Indirect · See Footnote | Holding | no price filed | 2014-02-10 |