SEC FORM
3
SEC Form 3
FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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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OMB APPROVAL |
OMB Number: |
3235-0104 |
Estimated average burden |
hours per response: |
0.5 |
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1. Name and Address of Reporting Person*
CARNEGIE HALL TOWER |
152 WEST 57TH STREET, 23RD FLOOR |
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 04/12/2006
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3. Issuer Name and Ticker or Trading Symbol
Vanda Pharmaceuticals Inc.
[ VNDA ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
X |
10% Owner |
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Officer (give title below) |
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Other (specify below) |
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Form filed by One Reporting Person |
X |
Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Beneficially Owned |
1. Title of Security (Instr.
4)
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2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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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 Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Series B Preferred Stock |
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Common Stock |
300,841
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I |
See Footnote
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Series B Preferred Stock |
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Common Stock |
738,108
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I |
See Footnote
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Series B Preferred Stock |
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Common Stock |
708,258
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I |
See Footnote
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Series B Preferred Stock |
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Common Stock |
655,485
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I |
See Footnote
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1. Name and Address of Reporting Person*
CARNEGIE HALL TOWER |
152 WEST 57TH STREET, 23RD FLOOR |
(Street)
|
1. Name and Address of Reporting Person*
CARNEGIE HALL TOWER |
152 WEST 57TH STREET, 23RD FLOOR |
(Street)
|
1. Name and Address of Reporting Person*
CARNEGIE HALL TOWER |
152 WEST 57TH STREET, 23RD FLOOR |
(Street)
|
1. Name and Address of Reporting Person*
CARNEGIE HALL TOWER |
152 WEST 57TH STREET, 23RD FLOOR |
(Street)
|
1. Name and Address of Reporting Person*
CARNEGIE HALL TOWER |
152 WEST 57TH STREET, 23RD FLOOR |
(Street)
|
1. Name and Address of Reporting Person*
CARNEGIE HALL TOWER |
152 WEST 57TH STREET, 23RD FLOOR |
(Street)
|
1. Name and Address of Reporting Person*
CARNEGIE HALL TOWER |
152 WEST 57TH STREET, 23RD FLOOR |
(Street)
|
1. Name and Address of Reporting Person*
CARNEGIE HALL TOWER |
152 WEST 57TH STREET, 23RD FLOOR |
(Street)
|
1. Name and Address of Reporting Person*
CARNEGIE HALL TOWER |
152 WEST 57TH STREET, 23RD FLOOR |
(Street)
|
1. Name and Address of Reporting Person*
CARNEGIE HALL TOWER |
152 WEST 57TH STREET, 23RD FLOOR |
(Street)
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Explanation of Responses: |
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/s/ Jeffrey Martin, Authorized Signatory |
04/12/2006 |
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** Signature of Reporting Person |
Date |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
* If the form is filed by more than one reporting person,
see
Instruction
5
(b)(v). |
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
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 Number. |
Exhibit 24
STATEMENT APPOINTING DESIGNATED FILER
AND AUTHORIZED SIGNATORY
APRIL 12, 2006
Each of the
entities listed on SCHEDULE A attached hereto (each a
"Reporting
Entity") and each party listed on SCHEDULE B attached hereto
(each a
"Reporting Individual"; together with the Reporting Entities,
the
"Reporting Persons") hereby authorizes and designates Rho Ventures
IV,
L.P. (the "Designated Filer"), to prepare and file on behalf of
such
Reporting Person individually, or jointly together with other
Reporting
Persons, any and all reports, notices, communications and
other
documents (including, but not limited to, reports on Schedule
13D,
Schedule 13G, Form 3, Form 4 and Form 5) that such Reporting
Person may
be required to file with the United States Securities and
Exchange
Commission or with any regulatory body, including United
States federal,
state and self-regulatory bodies, with respect to the
Reporting Person's
ownership of, or transactions in, the securities of
any entity whose
securities are beneficially owned (directly or
indirectly) by such
Reporting Person (collectively, the "Reports").
Each Reporting Person
hereby further authorizes and designates
Jeffrey Martin (the "Authorized
Signatory") to execute and file on
behalf of such Reporting Person the
Reports and to perform any and all
other acts, which in the opinion of a
Designated Filer or such
Authorized Signatory may be necessary or
incidental to the performance
of the foregoing powers herein granted.
The authority of the Designated Filer and Authorized Signatory
under
this document with respect to each Reporting Person shall
continue until
such Reporting Person is no longer required to file any
Reports with
respect to the Reporting Person's ownership of, or
transactions in,
securities, unless earlier revoked in writing. Each
Reporting Person
acknowledges that the Designated Filer and the
Authorized Signatory are
not assuming any of the Reporting Person's
responsibilities to comply
with any United States federal or state law
or with any regulations
promulgated thereto.
SCHEDULE A
Rho Ventures IV, L.P.
Rho
Management Ventures IV, L.L.C.
Rho Ventures IV (QP), L.P.
Rho Ventures
IV GmbH & Co. Beteiligungs KG
Rho Capital Partners Verwaltungs GmbH
Rho
Management Trust I
Rho Capital Partners, Inc.
SCHEDULE B
Mark
Leschly
Habib Kairouz
Joshua Ruch
In Witness Whereof, the
undersigned have caused this Statement Appointing
Designated Filer and
Authorized Signatory to be effective as of April 12,
2006.
Reporting Persons:
April 12, 2006
/s/ Mark Leschly
--------------------
Mark Leschly
April
12, 2006
/s/ Habib Kairouz
- --------------------
Habib Kairouz
April 12, 2006
/s/ Joshua Ruch
--------------------
Joshua Ruch
April 12, 2006
Rho Ventures
IV, L.P.
By: Rho Management Ventures IV, L.L.C.
Its
General Partner
/s/ Mark Leschly
--------------------------------
Mark Leschly, Managing
Member
April 12, 2006
Rho Ventures IV GmbH & Co.
Beteiligungs KG
By: Rho Capital Partners Verwaltungs GmbH,
Its General Partner
/s/ Mark Leschly
--------------------------------
Mark Leschly, Managing
Director
April 12, 2006
Rho Ventures IV (QP), L.P.
By: Rho Management Ventures IV, L.L.C.
Its General
Partner
/s/ Mark Leschly
--------------------------------
Mark Leschly, Managing
Member
In Witness Whereof, the undersigned have caused this
Statement Appointing
Designated Filer and Authorized Signatory to be
effective as of April 12,
2006
Rho Management Trust I
By: Rho Capital Partners, Inc.
Its Investment Advisor
/s/ Mark Leschly
--------------------------------
Mark Leschly, Managing Partner
April 12, 2006
Rho Management Ventures IV, L.L.C.
/s/ Mark
Leschly
--------------------------------
Mark Leschly,
Managing Member
April 12, 2006
Rho Capital Partners
Verwaltungs GmbH
/s/ Mark Leschly
--------------------------------
Mark Leschly, Managing
Director
April 12, 2006
Rho Capital Partners, Inc.
/s/ Mark Leschly
--------------------------------
Mark Leschly, Managing Partner
Exhibit 99
JOINT FILER INFORMATION
Joint
Filer Name: Rho Management Ventures IV, L.L.C.
Relationship to
Issuer: 10% Owner
Address: Carnegie Hall Tower, 152 West 57th
Street,
23rd Floor
Designated Filer: Rho Ventures IV, L.P.
Date of Event Requiring
Statement: April 12, 2006
Issuer
Name and Ticker
or Trading Symbol: Vanda Pharmaceuticals, Inc. (VNDA)
Signature Rho Management Ventures IV, L.L.C.
By:
/s/ Jeffrey Martin
--------------------------------------------
Jeffrey Martin, Authorized Signatory
Joint Filer Name:
Rho Management Trust I
Relationship to Issuer: 10% Owner
Address: Carnegie Hall Tower, 152 West 57th Street,
23rd
Floor
Designated Filer: Rho Ventures IV, L.P.
Date of Event
Requiring
Statement: April 12, 2006
Issuer Name and Ticker
or Trading Symbol: Vanda Pharmaceuticals, Inc. (VNDA)
Signature
Rho Management Trust I
By: Rho Capital Partners, Inc.
Trustee
By: /s/ Jeffrey Martin
- --------------------------------------------
Jeffrey Martin,
Authorized Signatory
Joint Filer Name: Rho Ventures IV (QP),
L.P.
Relationship to Issuer: 10% Owner
Address: Carnegie Hall
Tower, 152 West 57th Street,
23rd Floor
Designated Filer:
Rho Ventures IV, L.P.
Date of Event Requiring
Statement: April
12, 2006
Issuer Name and Ticker
or Trading Symbol: Vanda
Pharmaceuticals, Inc. (VNDA)
Signature Rho Ventures IV (QP),
L.P.
By: Rho Management Ventures IV, L.L.C.
Its
General Partner
By: /s/ Jeffrey Martin
- --------------------------------------------
Jeffrey Martin,
Authorized Signatory
Joint Filer Name: Rho Ventures IV GmbH & Co.
Beteiligungs KG
Relationship to Issuer: 10% Owner
Address: Carnegie Hall Tower, 152 West 57th Street,
23rd
Floor
Designated Filer: Rho Ventures IV, L.P.
Date of Event
Requiring
Statement: April 12, 2006
Issuer Name and Ticker
or Trading Symbol: Vanda Pharmaceuticals, Inc. (VNDA)
Signature
Rho Ventures IV GmbH & Co. Beteiligungs KG
By: Rho Capital
Partners Verwaltungs GmbH
By: /s/ Jeffrey Martin
- --------------------------------------------
Jeffrey Martin,
Authorized Signatory
Joint Filer
Name: Rho Capital
Partners Verwaltungs GmbH
Relationship to Issuer: 10% Owner
Address: Carnegie Hall Tower, 152 West 57th Street,
23rd Floor
Designated Filer: Rho Ventures IV, L.P.
Date of Event Requiring
Statement: April 12, 2006
Issuer Name and Ticker
or Trading
Symbol: Vanda Pharmaceuticals, Inc. (VNDA)
Signature Rho
Capital Partners Verwaltungs GmbH
By: /s/ Jeffrey Martin
--------------------------------------------
Jeffrey
Martin, Authorized Signatory
Joint Filer Name: Rho Capital
Partners, Inc.
Relationship to Issuer: 10% Owner
Address: Carnegie Hall Tower, 152 West 57th Street,
23rd
Floor
Designated Filer: Rho Ventures IV, L.P.
Date of Event
Requiring
Statement: April 12, 2006
Issuer Name and Ticker
or Trading Symbol: Vanda Pharmaceuticals, Inc. (VNDA)
Signature Rho Capital Partners, Inc.
By: Rho Capital
Partners, Inc. Trustee
By: /s/ Jeffrey Martin
- --------------------------------------------
Jeffrey Martin,
Authorized Signatory
Joint Filer Name: Mark Leschly
Relationship to Issuer: 10% Owner
Address: Carnegie Hall Tower,
152 West 57th Street,
23rd Floor
Designated Filer: Rho
Ventures IV, L.P.
Date of Event Requiring
Statement: April 12,
2006
Issuer Name and Ticker
or Trading Symbol: Vanda
Pharmaceuticals, Inc. (VNDA)
Signature Mark Leschly
By: /s/ Jeffrey Martin
- --------------------------------------------
Jeffrey Martin,
Authorized Signatory
Joint Filer Name: Habib Kairouz
Relationship to Issuer: 10% Owner
Address: Carnegie Hall Tower,
152 West 57th Street,
23rd Floor
Designated Filer: Rho
Ventures IV, L.P.
Date of Event Requiring
Statement: April 12,
2006
Issuer Name and Ticker
or Trading Symbol: Vanda
Pharmaceuticals, Inc. (VNDA)
Signature Habib Kairouz
By: /s/ Jeffrey Martin
- --------------------------------------------
Jeffrey Martin,
Authorized Signatory
Joint Filer Name: Joshua Ruch
Relationship to Issuer: 10% Owner
Address: Carnegie Hall Tower,
152 West 57th Street,
23rd Floor
Designated Filer: Rho
Ventures IV, L.P.
Date of Event Requiring
Statement: April 12,
2006
Issuer Name and Ticker
or Trading Symbol: Vanda
Pharmaceuticals, Inc. (VNDA)
Signature Joshua Ruch
By: /s/ Jeffrey Martin
- --------------------------------------------
Jeffrey Martin,
Authorized Signatory