Filing Details

Accession Number:
0001381980-13-000003
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-11-12 17:27:48
Reporting Period:
2013-11-08
Filing Date:
2013-11-12
Accepted Time:
2013-11-12 17:27:48
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1274644 Ocera Therapeutics Inc. OCRX Pharmaceutical Preparations (2834) 631192270
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1381980 S Nina Kjellson C/o Interwest Partners
2710 Sand Hill Road, Suite 200
Menlo Park CA 94025
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-11-08 422,238 $0.00 1,248,064 No 4 P Indirect By Partnership
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Partnership
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrant Acquisiton 2013-11-08 84,448 $0.00 84,448 $7.66
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
84,448 2013-11-08 2013-11-05 No 4 P Indirect
Footnotes
  1. Each unit, consisting of one share of common stock and a warrant to purchase 0.2 of a share of common stock, was sold for a total purchase price of $7.105 per unit.
  2. The shares are held by InterWest Partners IX, LP ("IW9"). InterWest Management Partners IX, LLC ("IMP9") the general partner of IW9, has sole voting and investment control over the shares held by IW9. The Reporting Person serves as a Venture Member of IMP9 and may be deemed to share voting and investment control with respect to the shares held by IW9. The Reporting Person disclaims beneficial ownership of the shares reported herein, except to the extent of her pecuniary interest therein.