Ocera Therapeutics, Inc. Forms 3, 4 and 5: Preferred Stock
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.
- 2011-04-06: Reporting owner Capital regional et cooperatif Desjardins | Desjardins-Innovatech S.E.C.; Form 4; Security Preferred Exchangeable Shares of Tranzyme Pharma Inc.; Transaction C Conversion of derivative security.
- 2011-04-06: Reporting owner Gavin Brenda D | QUAKER BIO VENTURES LP | QUAKER BIOVENTURES CAPITAL LP; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2011-04-06: Reporting owner BDC CAPITAL INC.; Form 4; Security Series A Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2011-04-06: Reporting owner BDC CAPITAL INC.; Form 4; Security Preferred Exchangeable Shares of Tranzyme Pharma Inc.; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-04-06 | Capital regional et cooperatif Desjardins | Desjardins-Innovatech S.E.C. 10% Owner | 10% Owner | 4 | Preferred Exchangeable Shares of Tranzyme Pharma Inc. Derivative · Direct · (m) | C Conversion of derivative security | −8,524,692 0 owned after | $0.00 | 2011-04-07 | |
| 2011-04-06 | Gavin Brenda D | QUAKER BIO VENTURES LP | QUAKER BIOVENTURES CAPITAL LP Director | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −15,328,551 0 owned after | $0.00 | 2011-04-06 | |
| 2011-04-06 | BDC CAPITAL INC. 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,151,014 0 owned after | $0.00 | 2011-04-06 | |
| 2011-04-06 | BDC CAPITAL INC. 10% Owner | 4 | Preferred Exchangeable Shares of Tranzyme Pharma Inc. Derivative · Direct | C Conversion of derivative security | −6,408,016 0 owned after | $0.00 | 2011-04-06 | |
| 2011-04-06 | TAMER ANTHONY | MNAYMNEH SAMI | HIG GP II INC | H.I.G. Ventures - Tranzyme, LLC | Davidson Aaron 10% Owner | 10% Owner | 10% Owner | 10% Owner | Director | 4 | Series A Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −15,328,551 0 owned after | $0.00 | 2011-04-06 | |
| 2011-04-06 | TMP ASSOCIATES LP | THOMAS MCNERNEY & PARTNERS LP | Zisson Alex | THOMAS JAMES E | Thomas, McNerney & Partners, LLC | McNerney Pete | TMP Nominee, LLC 10% Owner | 10% Owner | Director | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −14,725,374 0 owned after | $0.00 | 2011-04-06 | |
| 2011-04-06 | TMP ASSOCIATES LP | THOMAS MCNERNEY & PARTNERS LP | Zisson Alex | THOMAS JAMES E | Thomas, McNerney & Partners, LLC | McNerney Pete | TMP Nominee, LLC 10% Owner | 10% Owner | Director | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −547,229 0 owned after | $0.00 | 2011-04-06 | |
| 2011-04-06 | TMP ASSOCIATES LP | THOMAS MCNERNEY & PARTNERS LP | Zisson Alex | THOMAS JAMES E | Thomas, McNerney & Partners, LLC | McNerney Pete | TMP Nominee, LLC 10% Owner | 10% Owner | Director | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −55,946 0 owned after | $0.00 | 2011-04-06 | |
| 2011-04-01 holding as of filing | BDC CAPITAL INC. 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2011-04-01 | ||
| 2011-04-01 holding as of filing | BDC CAPITAL INC. 10% Owner | 3 | Preferred Exchangeable Shares of Tranzyme Pharma Inc. Derivative · Direct | Holding | no price filed | 2011-04-01 | ||
| 2011-04-01 holding as of filing | H.I.G. Ventures - Tranzyme, LLC | HIG GP II INC | Davidson Aaron | MNAYMNEH SAMI | TAMER ANTHONY 10% Owner | 10% Owner | Director | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2011-04-01 | ||
| 2011-04-01 holding as of filing | Capital regional et cooperatif Desjardins | Desjardins-Innovatech S.E.C. 10% Owner | 10% Owner | 3 | Preferred Exchangeable Shares of Tranzyme Pharma Inc. Derivative · Direct · (m) | Holding | no price filed | 2011-04-01 | ||
| 2011-04-01 holding as of filing | Zisson Alex | TMP Nominee, LLC | TMP ASSOCIATES LP | THOMAS MCNERNEY & PARTNERS LP | THOMAS JAMES E | Thomas, McNerney & Partners, LLC | McNerney Pete Director | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Direct · (m) | Holding | no price filed | 2011-04-01 | ||
| 2011-04-01 holding as of filing | Zisson Alex | TMP Nominee, LLC | TMP ASSOCIATES LP | THOMAS MCNERNEY & PARTNERS LP | THOMAS JAMES E | Thomas, McNerney & Partners, LLC | McNerney Pete Director | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2011-04-01 | ||
| 2011-04-01 holding as of filing | Zisson Alex | TMP Nominee, LLC | TMP ASSOCIATES LP | THOMAS MCNERNEY & PARTNERS LP | THOMAS JAMES E | Thomas, McNerney & Partners, LLC | McNerney Pete Director | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2011-04-01 | ||
| 2011-04-01 holding as of filing | QUAKER BIOVENTURES CAPITAL LP | QUAKER BIO VENTURES LP | Gavin Brenda D 10% Owner | 10% Owner | Director | 3 | Series A Convertible Preferred Stock Derivative · Direct | Holding | no price filed | 2011-04-01 |