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Filing Details

Accession Number:: 0001209191-14-007595
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-02-05 16:54:37
Reporting Period:: 2014-02-05

Filing Date:: 2014-02-05
Accepted Time:: 2014-02-05 16:54:37
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1346830	Cara Therapeutics Inc.	CARA	Pharmaceutical Preparations (2834)	000000000

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1198321	Farah Champsi	C/O Alta Partners One Embarcadero Center, 37Th Floor San Francisco CA 94111	No	No	Yes	No
1198332	Edward Penhoet	C/O Alta Partners One Embarcadero Center, 37Th Floor San Francisco CA 94111	No	No	Yes	No
1211840	Edward Hurwitz	C/O Alta Partners One Embarcadero Center, 37Th Floor San Francisco CA 94111	Yes	No	Yes	No
1257444	Alta Biopharma Partners Iii Lp	One Embarcadero Center, 37Th Floor San Francisco CA 94111	No	No	Yes	No
1280234	Alta Biopharma Management Iii Llc	C/O Alta Partners One Embarcadero Center, 37Th Floor San Francisco CA 94111	No	No	Yes	No
1280238	Alta Embarcadero Biopharma Partners Iii Llc	C/O Alta Partners One Embarcadero Center, 37Th Floor San Francisco CA 94111	No	No	Yes	No
1280265	Alta Biopharma Partners Iii Gmbh & Co Beteiligungs Kg	C/O Alta Partners One Embarcadero Center, 37Th Floor San Francisco CA 94111	No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2014-02-05	1,118,675	$0.00	1,118,675	No	4	C	Indirect	See Footnote
Common Stock	Acquisiton	2014-02-05	531,442	$0.00	1,650,117	No	4	C	Indirect	See Footnote
Common Stock	Acquisiton	2014-02-05	103,330	$11.00	1,753,447	No	4	P	Indirect	See Footnote
Common Stock	Acquisiton	2014-02-05	75,129	$0.00	75,129	No	4	C	Indirect	See Footnote
Common Stock	Acquisiton	2014-02-05	35,691	$0.00	110,820	No	4	C	Indirect	See Footnote
Common Stock	Acquisiton	2014-02-05	6,940	$11.00	117,760	No	4	P	Indirect	See Footnote
Common Stock	Acquisiton	2014-02-05	27,568	$0.00	27,568	No	4	C	Indirect	See Footnote
Common Stock	Acquisiton	2014-02-05	13,097	$0.00	40,665	No	4	C	Indirect	See Footnote
Common Stock	Acquisiton	2014-02-05	2,547	$11.00	43,212	No	4	P	Indirect	See Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	C	Indirect	See Footnote
No	4	C	Indirect	See Footnote
No	4	P	Indirect	See Footnote
No	4	C	Indirect	See Footnote
No	4	C	Indirect	See Footnote
No	4	P	Indirect	See Footnote
No	4	C	Indirect	See Footnote
No	4	C	Indirect	See Footnote
No	4	P	Indirect	See Footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series C Preferred Stock	Disposition	2014-02-05	2,363,654	$0.00	1,118,675	$0.00
Common Stock	Series C Preferred Stock	Disposition	2014-02-05	158,741	$0.00	75,129	$0.00
Common Stock	Series C Preferred Stock	Disposition	2014-02-05	58,250	$0.00	27,568	$0.00
Common Stock	Series D Preferred Stock	Disposition	2014-02-05	1,328,604	$0.00	531,442	$0.00
Common Stock	Series D Preferred Stock	Disposition	2014-02-05	89,227	$0.00	35,691	$0.00
Common Stock	Series D Preferred Stock	Disposition	2014-02-05	32,742	$0.00	13,097	$0.00

Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect
No	4	C	Indirect

Footnotes

The Series C Preferred Stock held by the reporting persons automatically converted on a 1-for-2.1129 basis into shares of common stock upon the closing of the issuer's initial public offering.
These shares are held of record by Alta BioPharma Partners III, L.P. ("ABP III"). Alta BioPharma Management III, LLC ("ABM III") is the general partner of ABP III. Edward Hurwitz, a director of the issuer, Farah Champsi and Edward Penhoet are directors of ABM III and may be deemed to share dispositive and voting power over the shares held by ABP III. Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of his, her or its respective pecuniary interest therein.
The Series D Preferred Stock held by the reporting persons automatically converted on a 1-for-2.5 basis into shares of common stock upon the closing of the issuer's initial public offering.
These shares are held of record by Alta BioPharma Partners III GmbH & Co. Beteiligungs KG ("GmbH"). ABM III is the managing limited partner of GmbH. Edward Hurwitz, a director of the issuer, Farah Champsi and Edward Penhoet are directors of ABM III and may be deemed to share dispositive and voting power over the shares held by GmbH. Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of his, her or its respective pecuniary interest therein.
These shares are held of record by Alta Embarcadero BioPharma Partners III, LLC ("Embarcadero"). Edward Hurwitz, a director of the issuer, Farah Champsi and Edward Penhoet are the managers of Embarcadero and may be deemed to share dispositive and voting power over the shares held by Embarcadero. Each of the reporting persons disclaims beneficial ownership of these securities except to the extent of his, her or its respective pecuniary interest therein.