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SC 13D/A

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13D

Under the Securities Exchange Act of 1934

(Amendment No. 1)*

 

 

Aerpio Pharmaceuticals, Inc.

(Name of Issuer)

COMMON STOCK, PAR VALUE $0.0001 PER SHARE

(Title of Class of Securities)

None

(CUSIP Number)

Kearny Venture Partners, L.P.

One Embarcadero, Suite 3700

San Francisco, CA 94111

Attn: Andrew Jensen

(415) 875-7776

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

September 24, 2018

(Date of Event Which Requires Filing of this Statement)

 

 

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-l(f) or 240.13d-l(g), check the following box.  ☐

 

*

The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 

 

 

CUSIP No. None

 

  1.   

Names of Reporting Persons

 

Kearny Venture Partners, L.P. (“KVP”)

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ☐        (b)  ☒

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

WC

  5.  

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

 

☐

  6.  

Citizenship or Place of Organization

 

Delaware

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

      7.    

Sole Voting Power

 

-0-

     8.   

Shared Voting Power

 

-0-

     9.   

Sole Dispositive Power

 

-0-

   10.   

Shared Dispositive Power

 

-0-

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

-0-

12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

☐

13.  

Percent of Class Represented by Amount in Row (11)

 

0%

14.  

Type of Reporting Person (See Instructions)

 

PN

CUSIP No. None

 

  1.   

Names of Reporting Persons

 

Kearny Venture Partners Entrepreneurs’ Fund, L.P. (“KVPE”)

  2.  

Check the Appropriate Box if a Member of a Group (See Instructions)

 

(a)  ☐        (b)  ☒

  3.  

SEC Use Only

 

  4.  

Source of Funds (See Instructions)

 

WC

  5.  

Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e)

 

☐

  6.  

Citizenship or Place of Organization

 

Delaware

Number of

Shares

Beneficially

Owned by

Each

Reporting

Person

With

 

      7.    

Sole Voting Power

 

-0-

     8.   

Shared Voting Power

 

-0-

     9.   

Sole Dispositive Power

 

-0-

   10.   

Shared Dispositive Power

 

-0-

11.  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

-0-

12.  

Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)

 

☐

13.  

Percent of Class Represented by Amount in Row (11)

 

0%

14.  

Type of Reporting Person (See Instructions)

 

PN

  1   

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (Entities Only).

 

Kearny Venture Associates, L.L.C. (“KVA”)

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)

 

(a)  ☐        (b)  ☒

  3  

SEC USE ONLY

 

  4  

SOURCE OF FUNDS

 

WC

  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)

 

☐

  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

Delaware

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

      7    

SOLE VOTING POWER

 

-0-

     8   

SHARED VOTING POWER

 

-0-

     9   

SOLE DISPOSITIVE POWER

 

-0-

   10   

SHARED DISPOSITIVE POWER

 

-0-

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

-0-

12  

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

 

☐

13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

0%

14  

TYPE OF REPORTING PERSON (See Instructions)

 

OO

  1   

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (Entities Only).

 

Caley Castelein (“Castelein”)

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)

 

(a)  ☐        (b)  ☒

  3  

SEC USE ONLY

 

  4  

SOURCE OF FUNDS

 

WC

  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)

 

☐

  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

U.S. citizen

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

      7    

SOLE VOTING POWER

 

270,907

     8   

SHARED VOTING POWER

 

-0-

     9   

SOLE DISPOSITIVE POWER

 

270,907

   10   

SHARED DISPOSITIVE POWER

 

-0-

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

270,907

12  

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

 

☐

13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

0.07%

14  

TYPE OF REPORTING PERSON (See Instructions)

 

IN

  1   

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (Entities Only).

 

Richard Spalding (“Spalding”)

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)

 

(a)  ☐        (b)  ☒

  3  

SEC USE ONLY

 

  4  

SOURCE OF FUNDS

 

WC

  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)

 

☐

  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

U.S. citizen

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

      7    

SOLE VOTING POWER

 

-0-

     8   

SHARED VOTING POWER

 

-0-

     9   

SOLE DISPOSITIVE POWER

 

-0-

   10   

SHARED DISPOSITIVE POWER

 

-0-

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

-0-

12  

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

 

☐

13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

0%*

14  

TYPE OF REPORTING PERSON (See Instructions)

 

IN

  1   

NAME OF REPORTING PERSONS

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (Entities Only).

 

James Shapiro (“Shapiro”)

  2  

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)

 

(a)  ☐        (b)  ☒

  3  

SEC USE ONLY

 

  4  

SOURCE OF FUNDS

 

WC

  5  

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)

 

☐

  6  

CITIZENSHIP OR PLACE OF ORGANIZATION

 

U.S. citizen

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

 

      7    

SOLE VOTING POWER

 

-0-

     8   

SHARED VOTING POWER

 

-0-

     9   

SOLE DISPOSITIVE POWER

 

-0-

   10   

SHARED DISPOSITIVE POWER

 

-0-

11  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

-0-

12  

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

 

☐

13  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

 

0%

14  

TYPE OF REPORTING PERSON (See Instructions)

 

IN

Item 1. Security and Issuer

This Amendment No. 1 (this “Amendment”) to Schedule 13D filed on March 27, 2017 (the “Schedule 13D”) by (i) Kearny Venture Partners, L.P. (“KVP”), (ii) Kearny Venture Partners Entrepreneurs’ Fund, L.P. (“KVPE”), (iii) Kearny Venture Associates, L.L.C. (“KVA”), (iv) Caley Castelein (“Castelein”), (v) Richard Spalding (“Spalding”), and (vi) James Shapiro (“Shapiro”, and together with KVP, KVPE, KVA, Castelein and Spalding, the “Reporting Persons”) relates to the common stock, par value $0.0001 per share (the “Common Stock”) of Aerpio Pharmaceuticals, Inc., a Delaware corporation (the “Issuer”). The Issuer’s principal executive offices are located at 9987 Carver Road, Cincinnati, Ohio 45242. Capitalized terms not defined herein shall have the meaning set forth in the Schedule 13D. The filing of this Amendment represents the final amendment to the Schedule 13D and constitutes an exit filing for the Reporting Persons.

Item 3. Source and Amount of Funds or Other Consideration

Item 3 of the Schedule 13D is hereby amended by adding the following after the last paragraph.

On September 24, 2018, KVP and KVPE made a distribution of its holdings in Aerpio Pharmaceuticals, Inc. and thereafter no longer beneficially owned any such securities. KVP distributed to its limited partners 1,571,475 shares of the common stock of the Issuer, representing 100% of KVP’s ownership position in the Issuer. KVPE distributed to its limited partners 32,051 shares of the common stock of the Issuer, representing 100% of KVPE’s ownership position in the Issuer.

Item 5. Interest in Securities of the Issuer

Item 5 of the Schedule 13D is hereby amended by deleting subsections (a)-(b) and replacing them with the following:

(a)-(b)

(1) Reporting Persons

Number of shares: 0

Percentage of shares: 0%

(2) KVP

Number of shares: 0

Percentage of shares: 0%

(3) KVPE

Number of shares: 0

Percentage of shares: 0%

(4) KVA

Number of shares: 0

Percentage of shares: 0%

(5) Castelein

Number of shares: 270,907

Percentage of shares: 0.07%

(6) Spalding

Number of shares: 0

Percentage of shares: 0%

(7) Shapiro

Number of shares: 0

Percentage of shares: 0%

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Pursuant to Rule 13d-1(k)(1)(iii) of Regulation 13D-G of the General Rules and Regulations of the Securities Exchange Act of 1934, as amended, the undersigned agree that the attached statement is filed on behalf of each of them.

Dated: October 3, 2018

 

KEARNY VENTURE PARTNERS, L.P.
By: Kearny Venture Associates, LLC, its General Partner
By:   /s/ Caley Castelein
  Managing Director

 

KEARNY VENTURE ASSOCIATES, LLC
By:   /s/ Caley Castelein
  Managing Director

 

KEARNY VENTURE PARTNERS

ENTREPRENEURS’ FUND, L.P.

By:  

Kearny Venture Associates, L.L.C.,

Its General Partner

By:   /s/ Caley Castelein
  Managing Director

[Signatures continue on next page]

CALEY CASTELEIN
By:   /s/ Caley Castelein
  Caley Castelein

 

RICHARD SPALDING
By:   /s/ Richard Spalding
  Richard Spalding

 

JAMES SHAPIRO
By:   /s/ James Shapiro
  James Shapiro