Home/Filings/4/A/0001209191-04-049151

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ALTA EMBARCADERO PARTNERS III LLC 4/A

Accession 0001209191-04-049151

CIK 0001138812other

View on SEC.gov Company Profile

Filed

Oct 20, 8:00 PM ET

Accepted

Oct 21, 8:31 PM ET

Size

30.8 KB

Accession

0001209191-04-049151

Insider Transaction Report

Form 4/AAmended

Period: 2004-10-15

COTHERIX INCCTRX

JANNEY DANIEL

Director10% Owner

Transactions

Conversion
Series C Preferred Stock
2004-10-15−1,147,065→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common (1,147,065 underlying)
Conversion
Common Stock
2004-10-15+1,862,546→ 2,004,837 total(indirect: See footnotes)
Conversion
Series B Preferred Stock
2004-10-15−715,481→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common (715,481 underlying)
Conversion
Series C Preferred Stock
2004-10-15−1,363,200→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common (1,363,200 underlying)
Conversion
Common Stock
2004-10-15+1,363,200→ 1,363,200 total(indirect: See footnotes)
Purchase
Common Stock
2004-10-15$6.00/sh+358,426$2,150,556→ 2,363,263 total(indirect: See footnotes)

ALTA CALIFORNIA MANAGEMENT PARTNERS III LLC

10% Owner

Transactions

Conversion
Series C Preferred Stock
2004-10-15−1,363,200→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common (1,363,200 underlying)
Conversion
Common Stock
2004-10-15+1,862,546→ 2,004,837 total(indirect: See footnotes)
Conversion
Series C Preferred Stock
2004-10-15−1,147,065→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common (1,147,065 underlying)
Conversion
Common Stock
2004-10-15+1,363,200→ 1,363,200 total(indirect: See footnotes)
Purchase
Common Stock
2004-10-15$6.00/sh+358,426$2,150,556→ 2,363,263 total(indirect: See footnotes)
Conversion
Series B Preferred Stock
2004-10-15−715,481→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common (715,481 underlying)

ALTA BIOPHARMA MANAGEMENT III LLC

10% Owner

Transactions

Purchase
Common Stock
2004-10-15$6.00/sh+358,426$2,150,556→ 2,363,263 total(indirect: See footnotes)
Conversion
Common Stock
2004-10-15+1,862,546→ 2,004,837 total(indirect: See footnotes)
Conversion
Series C Preferred Stock
2004-10-15−1,363,200→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common (1,363,200 underlying)
Conversion
Common Stock
2004-10-15+1,363,200→ 1,363,200 total(indirect: See footnotes)
Conversion
Series B Preferred Stock
2004-10-15−715,481→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common (715,481 underlying)
Conversion
Series C Preferred Stock
2004-10-15−1,147,065→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common (1,147,065 underlying)

ALTA EMBARCADERO PARTNERS III LLC

10% Owner

Transactions

Purchase
Common Stock
2004-10-15$6.00/sh+358,426$2,150,556→ 2,363,263 total(indirect: See footnotes)
Conversion
Series C Preferred Stock
2004-10-15−1,147,065→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common (1,147,065 underlying)
Conversion
Series B Preferred Stock
2004-10-15−715,481→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common (715,481 underlying)
Conversion
Series C Preferred Stock
2004-10-15−1,363,200→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common (1,363,200 underlying)
Conversion
Common Stock
2004-10-15+1,862,546→ 2,004,837 total(indirect: See footnotes)
Conversion
Common Stock
2004-10-15+1,363,200→ 1,363,200 total(indirect: See footnotes)

ALTA CALIFORNIA PARTNERS III LP

10% Owner

Transactions

Conversion
Common Stock
2004-10-15+1,363,200→ 1,363,200 total(indirect: See footnotes)
Conversion
Series C Preferred Stock
2004-10-15−1,363,200→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common (1,363,200 underlying)
Purchase
Common Stock
2004-10-15$6.00/sh+358,426$2,150,556→ 2,363,263 total(indirect: See footnotes)
Conversion
Series B Preferred Stock
2004-10-15−715,481→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common (715,481 underlying)
Conversion
Series C Preferred Stock
2004-10-15−1,147,065→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common (1,147,065 underlying)
Conversion
Common Stock
2004-10-15+1,862,546→ 2,004,837 total(indirect: See footnotes)

ALTA BIOPHARMA PARTNERS III GMBH & CO BETEILIGUNGS KG

10% Owner

Transactions

Conversion
Series C Preferred Stock
2004-10-15−1,363,200→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common (1,363,200 underlying)
Conversion
Series C Preferred Stock
2004-10-15−1,147,065→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common (1,147,065 underlying)
Conversion
Common Stock
2004-10-15+1,862,546→ 2,004,837 total(indirect: See footnotes)
Conversion
Common Stock
2004-10-15+1,363,200→ 1,363,200 total(indirect: See footnotes)
Purchase
Common Stock
2004-10-15$6.00/sh+358,426$2,150,556→ 2,363,263 total(indirect: See footnotes)
Conversion
Series B Preferred Stock
2004-10-15−715,481→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common (715,481 underlying)

ALTA BIOPHARMA PARTNERS III LP

10% Owner

Transactions

Purchase
Common Stock
2004-10-15$6.00/sh+358,426$2,150,556→ 2,363,263 total(indirect: See footnotes)
Conversion
Series B Preferred Stock
2004-10-15−715,481→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common (715,481 underlying)
Conversion
Series C Preferred Stock
2004-10-15−1,147,065→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common (1,147,065 underlying)
Conversion
Series C Preferred Stock
2004-10-15−1,363,200→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common (1,363,200 underlying)
Conversion
Common Stock
2004-10-15+1,862,546→ 2,004,837 total(indirect: See footnotes)
Conversion
Common Stock
2004-10-15+1,363,200→ 1,363,200 total(indirect: See footnotes)

ALTA EMBARCADERO BIOPHARMA PARTNERS III LLC

10% Owner

Transactions

Conversion
Series C Preferred Stock
2004-10-15−1,147,065→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common (1,147,065 underlying)
Conversion
Series B Preferred Stock
2004-10-15−715,481→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common (715,481 underlying)
Purchase
Common Stock
2004-10-15$6.00/sh+358,426$2,150,556→ 2,363,263 total(indirect: See footnotes)
Conversion
Series C Preferred Stock
2004-10-15−1,363,200→ 0 total(indirect: See footnotes)
Exercise: $0.00→ Common (1,363,200 underlying)
Conversion
Common Stock
2004-10-15+1,862,546→ 2,004,837 total(indirect: See footnotes)
Conversion
Common Stock
2004-10-15+1,363,200→ 1,363,200 total(indirect: See footnotes)

Footnotes (12)

[F1]Not applicable
[F10]Series C Preferred Stock: Alta California Partners III, L.P. beneficially owns 1,109,597 shares and Alta Embarcadero Partners III, LLC beneficially owns 37,468 shares.
[F11]Reflects 1:0.606 reverse stock split and the conversion adjustment of 1.0686 for the Series C Preferred Stock.
[F12]Series C Preferred Stock: Alta BioPharma Partners III, L.P. beneficially owns 1,242,942 shares and Alta BioPharma Partners III GmbH & Co. Beteiligungs KG beneficially owns 112,054 shares, and Alta Embarcadero BioPharma Partners III, LLC benefically owns 8,204 shares.
[F2]Upon the effective date of the Issuer's IPO: Alta California Partners III, L.P. ("ACPIII") shares converted into 1,804,891 shares of Common Stock and Alta Embarcadero Partners III, LLC ("AEPIII") shares converted into 57,655 shares of Common Stock.
[F3]Daniel Janney, Director, is a managing director of Alta California Managment Partners III, LLC ("ACMPIII") (which is the general partner ("gp") of Alta California Partners III, L.P. ("ACPIII") & a manager of Alta Embarcadero Partners III, LLC ("AEPIII"). As a managing director & manager of such funds, he may be deemed to share voting & investment powers over the shares held by ACPIII & AEPIII. He is a member of Alta BioPharma Managment III, LLC ("ABPMIII") with no voting or investment powers over the shares held by Alta BioPharma Partners III, L.P. ("ABPIII"). He disclaims ownership of all such shares held by all the foregoing funds except to the extent of their proportionate pecuniary interests therein.
[F4]Alta Partners II, Inc. provides investment advisory services to several funds including ACPIII, AEPIII, ABPIII, Alta BioPharma Partners III GmbH & Co. Beteilgungs KG ("ABPIIIKG") & Alta Embarcadero BioPharma Partners III, LLC ("AEBPIII"). The respective managing directors ("md") of ABMPIII (which is the general partner of ABPIII & ABPIIIKG) & managers of AEPIII, exercise sole voting & investment power with respect to the shares owned by such funds. G. Gruener, G. Nohra & D. Janney (collectively known as the "principals") are md of ACMPIII & members of AEPIII. J. Deleage, F. Champsi, E. Hurwitz & E. Penhoet (collectively known as the "principals") are directors of ABMPIII (which is the gp of ABPIII & ABPIIIKG & managers of AEBPIII. The principals may be deemed to share voting & investment powers over the shares held by the funds. The principals disclaim beneficial ownership of all such shares held by the funds, except to the extent of their porportionate pecuniary interest therein.
[F5]Upon the effective date of the Issuer's IPO: Alta BioPharma Partners III, L.P. shares converted into 1,242,942 shares of Common Stock, Alta BioPharma Partners III GmbH & Co. Beteiligungs KG shares converted into 112,054 shares of Common Stock, and Alta Embarcadero BioPharma Partners III, LLC shares converted into 8,204 shares of Common Stock.
[F6]At the Issuer's IPO, Alta California Partners III, L.P. purchased 358,426 shares of Common Stock.
[F7]Series B Preferred Stock: Alta California Partners III, L.P. beneficially owns 695,371 shares and Alta Embarcadero Partners III, LLC beneficially owns 20,110 shares.
[F8]Reflects 1:0.606 reverse stock split and the conversion adjustment of 1.0626 for Series B Preferred Stock.
[F9]Immediately

Documents

1 file

4
doc4a.xml
FORM 4/A SUBMISSION

Issuer

COTHERIX INC

CIK 0001138812

→

Entity typeother

Related Parties

filerCIK 0001163150

Filing Metadata

Form type: 4/A
Filed: Oct 20, 8:00 PM ET
Accepted: Oct 21, 8:31 PM ET
Size: 30.8 KB

View on SEC.gov