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13G Filing: Foresite Capital Fund III, L.P. and Tocagen Inc (TOCA)

Published on April 25, 2017 at 1:20 pm by Insider Monkey Staff in Hedge Funds
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Page 4 of 9 – SEC Filing

1 NAME OF REPORTING PERSONS        James Tananbaum (“Tananbaum”)
2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ¨ (b) x
3 SEC USE ONLY
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH		 5 SOLE VOTING POWER
915,000 shares, all of which are directly owned by Foresite Capital Fund III, L.P. (“FCF III”).  Tananbaum is the managing member of Foresite Capital Management III, LLC (“FCM III”), which is the general partner of FCF III.  Tananbaum may be deemed to have sole power to vote these shares.
6 SHARED VOTING POWER
See response to row 5.
7 SOLE DISPOSITIVE POWER
915,000 shares, all of which are directly owned by FCF III.  Tananbaum is the managing member of FCM III, which is the general partner of FCF III.  Tananbaum may be deemed to have sole power to dispose of these shares.
8 SHARED DISPOSITIVE POWER
See response to row 7.
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 915,000
10

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 ¨
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
4.6%*
12 TYPE OF REPORTING PERSON IN

* Percentage ownership as of April 21, 2017 is 4.63%, calculated
based on 19,776,763 shares outstanding, including the exercise of the Issuer’s underwriters’ option to purchase a
total of 1,275,000 additional shares of common stock from the Issuer, as announced by the Issuer on April 19, 2017.
This Schedule 13G is being filed because on April 13, 2017, FCF III owned an aggregate of 1,000,000 shares, representing 5.4% of
such class of shares, and Tananbaum may have been deemed to have sole power to vote and dispose of such shares. Prior to the filing
of this Schedule 13G, the Issuer’s underwriters purchased a total of 1,275,000 additional
shares of common stock from the Issuer, decreasing the aggregate ownership of the Reporting Persons below 5%.

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