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Ownership Document
|
| Schema Version: X0508 |
| Document Type: 4 |
| Period of Report: 10/13/23 |
| Not Subject to Section 16: 1 |
| Issuer: |
| Issuer CIK: 1600132 |
| Issuer Name: Bellerophon Therapeutics, Inc. |
| Issuer Trading Symbol: BLPH |
| Reporting Owner: |
| Reporting Owner ID: |
| | Owner CIK: 1658437 |
| | Owner Name: Puissance Capital Management LP |
| Reporting Owner Address: |
| | Owner Street 1: 45 E 85TH ST |
| | Owner Street 2: 5A |
| | Owner City: NEW YORK |
| | Owner State: NY |
| | Owner ZIP Code: 10028 |
| | Owner State Description: |
| Reporting Owner Relationship: |
| | Is Director? No |
| | Is Officer? No |
| | Is Ten Percent Owner? Yes |
| | Is Other? No |
| Reporting Owner: |
| Reporting Owner ID: |
| | Owner CIK: 1760460 |
| | Owner Name: Puissance Life Science Opportunities Fund VI |
| Reporting Owner Address: |
| | Owner Street 1: 950 THIRD AVENUE |
| | Owner Street 2: FL 25 |
| | Owner City: NEW YORK |
| | Owner State: NY |
| | Owner ZIP Code: 10022 |
| | Owner State Description: |
| Reporting Owner Relationship: |
| | Is Director? No |
| | Is Officer? No |
| | Is Ten Percent Owner? Yes |
| | Is Other? No |
| Reporting Owner: |
| Reporting Owner ID: |
| | Owner CIK: 1695347 |
| | Owner Name: Puissance Capital Fund (GP) LLC |
| Reporting Owner Address: |
| | Owner Street 1: 950 THIRD AVENUE |
| | Owner Street 2: 25TH FLOOR |
| | Owner City: NEW YORK |
| | Owner State: NY |
| | Owner ZIP Code: 10022 |
| | Owner State Description: |
| Reporting Owner Relationship: |
| | Is Director? No |
| | Is Officer? No |
| | Is Ten Percent Owner? Yes |
| | Is Other? No |
| Reporting Owner: |
| Reporting Owner ID: |
| | Owner CIK: 1694061 |
| | Owner Name: Wang Theodore T |
| Reporting Owner Address: |
| | Owner Street 1: C/O PUISSANCE CAPITAL MANAGEMENT LP |
| | Owner Street 2: 950 THIRD AVENUE, 25TH FLOOR |
| | Owner City: NEW YORK |
| | Owner State: NY |
| | Owner ZIP Code: 10022 |
| | Owner State Description: |
| Reporting Owner Relationship: |
| | Is Director? No |
| | Is Officer? No |
| | Is Ten Percent Owner? Yes |
| | Is Other? No |
| Aff 10b5 One: 0 |
| Non-Derivative Table: |
| Non-Derivative Transaction: |
| | Security Title: |
| | | Value: Common Stock |
| | Transaction Date: |
| | | Value: 10/13/23 |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: S |
| | | Equity Swap Involved? No |
| | Transaction Timeliness: |
| | | Value: |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 1,076,841 |
| | | Transaction Price Per Share: |
| Value: 0.1038 |
| | | Transaction Acquired-Disposed Code: |
| Value: D |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 0 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Remarks: These securities are held directly by Puissance Life Science Opportunities Fund VI and may be deemed to be beneficially owned by Puissance Capital Management LP, the investment manager of Puissance Life Science Opportunities Fund VI; Puissance Capital Fund(GP) LLC, the general partner of Puissance Capital Management LP; Puissance Capital Fund (GP) LLC, the general partner of Puissance Life Science Opportunities Fund VI; and Theodore T. Wang, the managing member of Puissance Capital Management (GP) LLC and Puissance Capital Fund (GP) LLC. The Reporting Persons each disclaim beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that any Reporting Person is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |
| Owner Signature: |
| Signature Name: Puissance Life Science Opportunities Fund VI, By: Puissance Capital Fund (GP) LLC, its managing member, By: Theodore T. Wang, Managing Member |
| Signature Date: 10/16/23 |
| Owner Signature: |
| Signature Name: Puissance Capital Fund (GP) LLC, By: Theodore T. Wang, Managing Member |
| Signature Date: 10/16/23 |
| Owner Signature: |
| Signature Name: Puissance Capital Management LP, By: Puissance Capital Fund (GP) LLC, its general partner, By: Theodore T. Wang, Managing Member |
| Signature Date: 10/16/23 |
| Owner Signature: |
| Signature Name: /s/ Theodore T. Wang |
| Signature Date: 10/16/23 |
