Statement of Changes in Beneficial Ownership (4)
April 03 2017 - 9:20AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
RHO Ventures VI LP
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2. Issuer Name
and
Ticker or Trading Symbol
Cara Therapeutics, Inc.
[
CARA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
152 WEST 57TH STREET, 23RD FLOOR
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3. Date of Earliest Transaction
(MM/DD/YYYY)
3/31/2017
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(Street)
NEW YORK, NY 10019
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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3/31/2017
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P
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500000
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A
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$18.1914
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3568057
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I
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See Footnote
(1)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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These securities are owned directly by Rho Ventures VI, L.P. ("RV VI"). RMV VI, L.L.C. ("RMV") is the general partner of RV VI and Rho Capital Partners LLC ("RCP") is the managing member of RMV. Mark Leschly, Habib Kairouz and Joshua Ruch are managing members of RCP and exercise shared voting and investment power with respect to the shares owned by RV VI. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his or its respective pecuniary interest therein.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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RHO Ventures VI LP
152 WEST 57TH STREET, 23RD FLOOR
NEW YORK, NY 10019
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X
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RMV VI, L.L.C.
152 WEST 57TH STREET, 23RD FLOOR
NEW YORK, NY 10019
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X
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Rho Capital Partners LLC
152 WEST 57TH STREET, 23RD FLOOR
NEW YORK, NY 10019
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X
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LESCHLY MARK
152 WEST 57TH STREET, 23RD FLOOR
NEW YORK, NY 10019
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X
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KAIROUZ HABIB
152 WEST 57TH STREET, 23RD FLOOR
NEW YORK, NY 10019
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X
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RUCH JOSHUA
152 WEST 57TH STREET, 23RD FLOOR
NEW YORK, NY 10019
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X
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Signatures
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/s/ Jeffrey I. Martin, Attorney-in-fact
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3/31/2017
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**
Signature of Reporting Person
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Date
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/ s/ Jeffrey I. Martin, Attorney-in-fact
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3/31/2017
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**
Signature of Reporting Person
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Date
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s/ Jeffrey I. Martin Atty In Fact
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3/31/2017
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**
Signature of Reporting Person
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Date
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/ s/ Jeffrey I. Martin, Attorney in fact
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3/31/2017
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**
Signature of Reporting Person
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Date
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/s/ Jeffrey Martin
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3/31/2017
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**
Signature of Reporting Person
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Date
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s/ Jeffrey I. Martin Attorney-In-Fact
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3/31/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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