OCRX SEC Filings - Ocera Therapeutics, Inc.- Annual Report, Proxy Statement, Prospectus

Basic Stats

LEI	5493009VT6G1XB6KQ496
CIK	1274644

SEC Filings

All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis. These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Ocera Therapeutics, Inc.

SEC Filings (Chronological Order)

This page provides a complete, chronological list of SEC Filings, excluding ownership filings which we provide elsewhere.

February 14, 2018	SC 13G/A	OCRX / Ocera Therapeutics, Inc. / GREAT POINT PARTNERS LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* Ocera Therapeutics Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 67552A108 (CUSIP Number) December 31, 2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which th
February 14, 2018	SC 13G/A	OCRX / Ocera Therapeutics, Inc. / PERCEPTIVE ADVISORS LLC - AMENDMENT NO. 1 TO SCHEDULE 13G Passive Investment Amendment No. 1 to Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Ocera Therapeutics, Inc. (Name of Issuer) Common Stock, $0.00001 par value per share (Title of Class of Securities) 67552A 10 8 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check
December 21, 2017	15-12B	OCRX / Ocera Therapeutics, Inc. 15-12B 15-12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-35119 Ocera Therapeutics, Inc. (Exact name of registrant as speci
December 21, 2017	SC 13D/A	OCRX / Ocera Therapeutics, Inc. / Mallinckrodt Plc - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d 101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. 1)* Ocera Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.00001 per share (Title of Class o
December 14, 2017	SC 13D/A	OCRX / Ocera Therapeutics, Inc. / Domain Partners VIII, L.P. - FORM SC 13D/A FOR OCERA THERAPEUTICS, INC. BY DOMAIN PARTNERS VIII, L.P. Activist Investment SC 13D/A 1 s13da121317-ocera.htm FORM SC 13D/A FOR OCERA THERAPEUTICS, INC. BY DOMAIN PARTNERS VIII, L.P. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D (Rule 13d-101) UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1) 1 Ocera Therapeutics, Inc. (Name of Issuer) Common Stock, $.00001 par value (Title of Class of Securities) 67552A108 (CUSIP Number) Domain Associates,
December 11, 2017	SC 14D9/A	OCRX / Ocera Therapeutics, Inc. SC 14D9/A SC 14D9/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14D-9 (Rule 14d-101) Solicitation/Recommendation Statement Under Section 14(d)(4) of the Securities Exchange Act of 1934 Amendment No.
December 11, 2017	POS AM	OCRX / Ocera Therapeutics, Inc. POS AM POS AM As filed with the Securities and Exchange Commission on December 11, 2017 Registration No.
December 11, 2017	EX-99.(A)(1)(I)	Press Release issued by Mallinckrodt plc, dated December 11, 2017 (incorporated herein by reference to Exhibit (a)(1)(I) to Amendment No. 3 to the Schedule TO filed by MEH Acquisition Co., MAK LLC and Mallinckrodt plc with the SEC on December 11, 2017). EX-99.(A)(1)(I) 2 d492298dex99a1i.htm EX-99.(A)(1)(I) Exhibit (a)(1)(I) MALLINCKRODT COMPLETES ACQUISITION OF OCERA THERAPEUTICS AND OCR-002, ITS PROPRIETARY THERAPY IN DEVELOPMENT FOR TREATMENT OF HEPATIC ENCEPHALOPATHY STAINES-UPON-THAMES, United Kingdom, Dec. 11, 2017 /PR Newswire/—Mallinckrodt plc (NYSE: MNK), a leading global specialty pharmaceutical company, today announced it has closed the
December 11, 2017	S-8 POS	OCRX / Ocera Therapeutics, Inc. S-8 POS S-8 POS As filed with the Securities and Exchange Commission on December 11, 2017 Registration No.
December 11, 2017	S-8 POS	OCRX / Ocera Therapeutics, Inc. S-8 POS As filed with the Securities and Exchange Commission on December 11, 2017 Registration No.
December 11, 2017	EX-3.2	Amended and Restated Bylaws of Ocera Therapeutics, Inc. Exhibit 3.2 SECOND AMENDED AND RESTATED BYLAWS OF OCERA THERAPEUTICS, INC. ARTICLE I Stockholders Section 1.1. Annual Meetings. An annual meeting of stockholders shall be held for the election of directors at such date, time and place either within or without the State of Delaware as may be designated by the board of directors of the Corporation (the Board) from time to time. Stockholders may, u
December 11, 2017	SC TO-T/A	MNK / Maillinckrodt plc. SC TO-T/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO (RULE 14D-100) Tender Offer Statement Pursuant to Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 (Amendment No. 3) OCERA THERAPEUTICS, INC. (Name of Subject Company) MEH ACQUISITION CO. (Offeror) A Wholly-Owned Subsidiary of MAK LLC (Offeror) A Wholly-Owned Subsidiary of MALLINCKRODT PUBLIC LIM
December 11, 2017	S-8 POS	OCRX / Ocera Therapeutics, Inc. S-8 POS S-8 POS 1 d476538ds8pos.htm S-8 POS As filed with the Securities and Exchange Commission on December 11, 2017 Registration No. 333-212053 Registration No. 333-205475 Registration No. 333-193094 Registration No. 333-191644 Registration No. 333-182408 Registration No. 333-173535 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTR
December 11, 2017	S-8 POS	OCRX / Ocera Therapeutics, Inc. S-8 POS As filed with the Securities and Exchange Commission on December 11, 2017 Registration No.
December 11, 2017	8-K	Changes in Control of Registrant, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Termination of a Material Definitive Agreement, Material Modification to Rights of Security Holders, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets, Other Events 8-K 1 d494470d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 8, 2017 OCERA THERAPEUTICS, INC. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-35119 63-1192270 (State or Other Jurisdiction of
December 11, 2017	POS AM	OCRX / Ocera Therapeutics, Inc. POS AM POS AM As filed with the Securities and Exchange Commission on December 11, 2017 Registration No.
December 11, 2017	S-8 POS	OCRX / Ocera Therapeutics, Inc. S-8 POS S-8 POS As filed with the Securities and Exchange Commission on December 11, 2017 Registration No.
December 11, 2017	S-8 POS	OCRX / Ocera Therapeutics, Inc. S-8 POS S-8 POS As filed with the Securities and Exchange Commission on December 11, 2017 Registration No.
December 11, 2017	EX-3.1	Amended and Restated Certificate of Incorporation of Ocera Therapeutics, Inc. Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF OCERA THEREAPEUTICS, INC. 1. The name of the corporation is Ocera Therapeutics, Inc. 2. The address of the Corporations registered office in the State of Delaware is Corporation Trust Center, 1209 Orange Street, in the city of Wilmington, County of New Castle County, Delaware 19801. The name of its registered agent at such address i
December 11, 2017	POS AM	OCRX / Ocera Therapeutics, Inc. POS AM POS AM 1 d501117dposam.htm POS AM As filed with the Securities and Exchange Commission on December 11, 2017 Registration No. 333-204214 Registration No. 333-192698 Registration No. 333-181215 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 2 TO FORM S-3 REGISTRATION STATEMENT NO. 333-204214 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-3 REGISTRATION
December 1, 2017	SC 14D9/A	OCRX / Ocera Therapeutics, Inc. SC 14D9/A SC 14D9/A 1 d281363dsc14d9a.htm SC 14D9/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14D-9 (Rule 14d-101) Solicitation/Recommendation Statement Under Section 14(d)(4) of the Securities Exchange Act of 1934 Amendment No. 2 Ocera Therapeutics, Inc. (Name of Subject Company) Ocera Therapeutics, Inc. (Name of Person(s) Filing Statement) Common Stock, par value $0.00
November 20, 2017	SC 14D9/A	OCRX / Ocera Therapeutics, Inc. SC 14D9/A SC 14D9/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 14D-9 (Rule 14d-101) Solicitation/Recommendation Statement Under Section 14(d)(4) of the Securities Exchange Act of 1934 Amendment No.
November 20, 2017	SC TO-T/A	MNK / Maillinckrodt plc. SC TO-T/A SC TO-T/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO (RULE 14D-100) Tender Offer Statement Pursuant to Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 (Amendment No. 2) OCERA THERAPEUTICS, INC. (Name of Subject Company) MEH ACQUISITION CO. (Offeror) A Wholly-Owned Subsidiary of MAK LLC (Offeror) A Wholly-Owned Subsidiary of MALLINCKRODT
November 16, 2017	SC TO-T/A	MNK / Maillinckrodt plc. SC TO-T/A SC TO-T/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO (RULE 14D-100) Tender Offer Statement Pursuant to Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 (Amendment No. 1) OCERA THERAPEUTICS, INC. (Name of Subject Company) MEH ACQUISITION CO. (Offeror) A Wholly-Owned Subsidiary of MAK LLC (Offeror) A Wholly-Owned Subsidiary of MALLINCKRODT
November 14, 2017	10-Q	OCRX / Ocera Therapeutics, Inc. FORM 10-Q (Quarterly Report) Form 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
November 13, 2017	EX-99.3	AGREEMENT OF JOINT FILING EX-99.3 Exhibit 3 AGREEMENT OF JOINT FILING This joint filing agreement (this “Agreement”) is made and entered into as of this 13th day of November, 2017, by and among Mallinckrodt plc, MAK LLC and MEH Acquisition Co. The parties to this Agreement hereby agree to jointly file on behalf of each of them a statement on Schedule 13D, and any and all amendments thereto and any other document relating t
November 13, 2017	SC 13D	OCRX / Ocera Therapeutics, Inc. / Mallinckrodt Plc - SC 13D Activist Investment SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Ocera Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.00001 per share (Title of Class of Securities) 67552A108 (CUSIP Number) Michael-Bryant Hicks, Esq. General Counsel Mallinckrodt plc 675 James S. McDonnell Blvd. Hazelwood, Missour
November 9, 2017	SC 14D9	OCRX / Ocera Therapeutics, Inc. SC 14D9 SC 14D9 1 d486606dsc14d9.htm SC 14D9 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 (Rule 14d-101) Solicitation/Recommendation Statement Under Section 14(d)(4) of the Securities Exchange Act of 1934 Ocera Therapeutics, Inc. (Name of Subject Company) Ocera Therapeutics, Inc. (Name of Persons Filing Statement) Common Stock, par value $0.00001
November 9, 2017	EX-99.A.1.D	Offer To Purchase For Cash All Outstanding Shares of Common Stock OCERA THERAPEUTICS, INC. a Delaware corporation $1.52 per share plus one non-transferable contractual contingent value right (“CVR”) for each share, which represents the right to recei EX-99.A.1.D 5 d485523dex99a1d.htm EX-99.A.1.D Exhibit (a)(1)(D) Offer To Purchase For Cash All Outstanding Shares of Common Stock of OCERA THERAPEUTICS, INC. a Delaware corporation at $1.52 per share plus one non-transferable contractual contingent value right (“CVR”) for each share, which represents the right to receive one or more payments in cash, currently estimated to be up to $2.58 per CVR,
November 9, 2017	EX-99.A.1.H	Notice of Offer to Purchase for Cash All Outstanding Shares of Common Stock OCERA THERAPEUTICS, INC. a Delaware corporation $1.52 per share plus one non-transferable contractual contingent value right (“CVR”) for each share, which represents the righ EX-99.A.1.H Exhibit (a)(1)(H) This announcement is neither an offer to purchase nor a solicitation of an offer to sell Shares (as defined below), and the provisions herein are subject in their entirety to the provisions of the Offer (as defined below). The Offer is made solely by the Offer to Purchase, dated November 9, 2017, and the related Letter of Transmittal and any amendments or supplements
November 9, 2017	EX-99.D.2	MUTUAL NON-DISCLOSURE AGREEMENT EX-99.D.2 8 d485523dex99d2.htm EX-99.D.2 Exhibit (d)(2) MUTUAL NON-DISCLOSURE AGREEMENT THIS MUTUAL NON-DISCLOSURE AGREEMENT, entered into as of this 20th day of January, 2017 by and between Ocera Therapeutics, Inc., a Delaware corporation, with its principal place of business at 525 University Avenue, Suite 610, Palo Alto, California 94301 (“OCERA”), and Mallinckrodt LLC, a Delaware limited liabi
November 9, 2017	SC TO-T	MNK / Maillinckrodt plc. SC TO-T SC TO-T UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO (RULE 14D-100) Tender Offer Statement Pursuant to Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 OCERA THERAPEUTICS, INC. (Name of Subject Company) MEH ACQUISITION CO. (Offeror) A Wholly-Owned Subsidiary of MAK LLC (Offeror) A Wholly-Owned Subsidiary of MALLINCKRODT PUBLIC LIMITED COMPA
November 9, 2017	EX-99.A.1.C	NOTICE OF GUARANTEED DELIVERY For Tender of Shares of Common Stock OCERA THERAPEUTICS, INC. a Delaware corporation $1.52 per share plus one non-transferable contractual contingent value right (“CVR”) for each share, which represents the right to rece EX-99.A.1.C Exhibit (a)(1)(C) NOTICE OF GUARANTEED DELIVERY For Tender of Shares of Common Stock of OCERA THERAPEUTICS, INC. a Delaware corporation at $1.52 per share plus one non-transferable contractual contingent value right (CVR) for each share, which represents the right to receive one or more payments in cash, currently estimated to be up to $2.58 per CVR, contingent upon the achievement o
November 9, 2017	EX-99.A.1.A	Offer to Purchase for Cash All Outstanding Shares of Common Stock OCERA THERAPEUTICS, INC. $1.52 per share plus one non-transferable contractual contingent value right (“CVR”) for each share, which represents the right to receive one or more payments Table of Contents Exhibit (a) (1) (A) Offer to Purchase for Cash All Outstanding Shares of Common Stock of OCERA THERAPEUTICS, INC.
November 9, 2017	EX-99.A.1.B	LETTER OF TRANSMITTAL To Tender Shares of Common Stock OCERA THERAPEUTICS, INC. a Delaware corporation $1.52 per share plus one non-transferable contractual contingent value right (“CVR”) for each share, which represents the right to receive one or m EX-99.A.1.B Exhibit (a)(1)(B) LETTER OF TRANSMITTAL To Tender Shares of Common Stock of OCERA THERAPEUTICS, INC. a Delaware corporation at $1.52 per share plus one non-transferable contractual contingent value right (?CVR?) for each share, which represents the right to receive one or more payments in cash, currently estimated to be up to $2.58 per CVR, contingent upon the achievement of certain mi
November 9, 2017	EX-99.A.1.E	Offer To Purchase For Cash All Outstanding Shares of Common Stock OCERA THERAPEUTICS, INC. a Delaware corporation $1.52 per share plus one non-transferable contractual contingent value right (“CVR”) for each share, which represents the right to recei EX-99.A.1.E Exhibit (a)(1)(E) Offer To Purchase For Cash All Outstanding Shares of Common Stock of OCERA THERAPEUTICS, INC. a Delaware corporation at $1.52 per share plus one non-transferable contractual contingent value right (?CVR?) for each share, which represents the right to receive one or more payments in cash, currently estimated to be up to $2.58 per CVR, contingent upon the achievement of
November 2, 2017	SC14D9C	Ocera Therapeutics SC14D9C SC14D9C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 SOLICITATION/RECOMMENDATION STATEMENT UNDER SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 Ocera Therapeutics, Inc. (Name of Subject Company) Ocera Therapeutics, Inc. (Names of Persons Filing Statement) COMMON STOCK, PAR VALUE $0.00001 PER SHARE (Title of Class of Securities) 67552A108 (CUSIP Nu
November 2, 2017	EX-99.2	External announcement email to partners: Exhibit 99.2 External announcement email to partners: Dear Colleague, I am excited to inform you that Ocera Therapeutics, Inc. has entered into an agreement pursuant to which Mallinckrodt plc will commence a tender offer to acquire all outstanding shares of Ocera. If consummated, this transaction would represent the coming together of two companies with significant drug development experience and
November 2, 2017	EX-99.1	Internal announcement email to employees: EX-99.1 2 d485383dex991.htm EX-99.1 Exhibit 99.1 Internal announcement email to employees: Dear Colleagues, This morning, we announced that Mallinckrodt and Ocera have entered into an agreement under which Mallinckrodt will acquire all outstanding shares of Ocera common stock at a purchase price of $1.52 per share in cash and potential additional future payments. The boards of directors of both co
November 2, 2017	EX-99.1	Joint Press Release issued by Mallinckrodt plc and Ocera Therapeutics, Inc. on November 2, 2017. Exhibit 99.1 MALLINCKRODT TO ACQUIRE OCERA THERAPEUTICS AND OCR-002, ITS PROPRIETARY THERAPY IN DEVELOPMENT FOR TREATMENT OF HEPATIC ENCEPHALOPATHY Mallinckrodt to commence cash tender offer to purchase Ocera Therapeutics for $1.52 per share, plus Contingent Value Right Hepatic encephalopathy (HE) is a neuropsychiatric syndrome associated with hyperammonemia (excess ammonia in the blood) tha
November 2, 2017	SC TO-C	Maillinckrodt SC TO-C SC TO-C SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO TENDER OFFER STATEMENT UNDER SECTION 14(d)(1) or 13(e)(1) OF THE SECURITIES EXCHANGE ACT OF 1934 Ocera Therapeutics, Inc. (Name of Subject Company) MEH ACQUISITION CO. (Offeror) A Wholly Owned Subsidiary of MAK LLC (Parent of Offeror) A Wholly Owned Subsidiary of MALLINCKRODT PUBLIC LIMITED COMPANY (Parent of Offeror) (N
November 2, 2017	EX-99.2	Presentation of Mallinckrodt plc Mallinckrodt Strategic Acquisition Ocera Therapeutics, dated November 2, 2017. EX-99.2 Mallinckrodt Strategic Acquisition Ocera Therapeutics, Inc. November 2, 2017 Exhibit 99.2 Forward-looking statements Statements in this document that are not strictly historical, including statements regarding the proposed acquisition of Ocera Therapeutics, the expected timetable for completing the transaction, future financial condition and operating results, economic, business, market op
November 2, 2017	SC14D9C	Ocera Therapeutics SC14D9C SC14D9C UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14D-9 SOLICITATION/RECOMMENDATION STATEMENT UNDER SECTION 14(d)(4) OF THE SECURITIES EXCHANGE ACT OF 1934 Ocera Therapeutics, Inc. (Name of Subject Company) Ocera Therapeutics, Inc. (Names of Persons Filing Statement) COMMON STOCK, PAR VALUE $0.00001 PER SHARE (Title of Class of Securities) 67552A108 (CUSIP Nu
November 2, 2017	EX-99.1	TENDER AND SUPPORT AGREEMENT EX-99.1 4 d487980dex991.htm EX-99.1 Exhibit 99.1 TENDER AND SUPPORT AGREEMENT This Tender and Support Agreement (this “Agreement”) is made and entered into as of November 1, 2017, by and among MAK LLC, a Delaware limited liability company (“Parent”), MEH Acquisition Co., a Delaware corporation and direct wholly-owned subsidiary of Parent (“Purchaser”) and the stockholders of Ocera Therapeutics, In
November 2, 2017	EX-2.1	Agreement and Plan of Merger, dated as of November 1, 2017, by and among Ocera Therapeutics, Inc., MAK LLC, MEH Acquisition Co. and for limited purposes, Mallinckrodt plc (incorporated by reference to Exhibit 2.1 to Ocera Therapeutics, Inc.s Current Report on Form 8-K (File No. 001-35119) filed with the Securities and Exchange Commission on November 2, 2017). EX-2.1 Exhibit 2.1 EXECUTION AGREEMENT AND PLAN OF MERGER by and among MAK LLC, MEH ACQUISITION CO., OCERA THERAPEUTICS, INC. and, solely for purposes of Section 8.16, MALLINCKRODT PLC Dated as of November 1, 2017 The Agreement and Plan of Merger (the ?Agreement?) contains representations, warranties and covenants that were made only for purposes of the Agreement and as of specific dates; were sol
November 2, 2017	8-K	Regulation FD Disclosure, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 1, 2017 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction of incorporation) (Commissi
November 2, 2017	EX-3.1	Amendment to Bylaws of the Company, dated November 1, 2017. EX-3.1 Exhibit 3.1 Amendment to By-laws of Ocera Therapeutics, Inc. The Amended and Restated By-laws of Ocera Therapeutics, Inc., a Delaware corporation (the ?Corporation?) are hereby amended as follows: 1. Article VI, Section 11 (?Exclusive Jurisdiction of Delaware Courts?) as set forth below is hereby inserted in the By-laws immediately following Article VI, Section 10 thereof: ?11. Exclusive Ju
November 2, 2017	EX-99.2	MALLINCKRODT TO ACQUIRE OCERA THERAPEUTICS AND OCR-002, ITS PROPRIETARY THERAPY IN DEVELOPMENT FOR TREATMENT OF HEPATIC ENCEPHALOPATHY Mallinckrodt to commence cash tender offer to purchase Ocera Therapeutics for $1.52 per share, plus Contingent Va EX-99.2 5 d487980dex992.htm EX-99.2 Exhibit 99.2 MALLINCKRODT TO ACQUIRE OCERA THERAPEUTICS AND OCR-002, ITS PROPRIETARY THERAPY IN DEVELOPMENT FOR TREATMENT OF HEPATIC ENCEPHALOPATHY — Mallinckrodt to commence cash tender offer to purchase Ocera Therapeutics for $1.52 per share, plus Contingent Value Right — — Hepatic encephalopathy (HE) is a neuropsychiatric syndrome associated with hyperammonem
September 29, 2017	8-K	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 28, 2017 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File
August 4, 2017	8-K	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 3, 2017 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Num
August 1, 2017	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 1, 2017 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Num
August 1, 2017	EX-99.1	Ocera Therapeutics Reports Second Quarter 2017 Financial Results EX-99.1 2 exhibit991oceraearningsrel.htm EXHIBIT 99.1 Exhibit 99.1 PRESS RELEASE Ocera Therapeutics Reports Second Quarter 2017 Financial Results REDWOOD CITY, Calif., and RESEARCH TRIANGLE PARK, N.C., August 1, 2017 – Ocera Therapeutics, Inc. (NASDAQ:OCRX), a clinical stage biopharmaceutical company focused on the development of OCR-002 for the treatment and prevention of hepatic encephalopathy (
August 1, 2017	10-Q	OCRX / Ocera Therapeutics, Inc. 10-Q JUNE 30, 2017 (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-35119 Ocera Thera
June 22, 2017	8-K	Submission of Matters to a Vote of Security Holders Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 20, 2017 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Numb
May 9, 2017	EX-10.3	OCERA THERAPEUTICS, INC. NON-EMPLOYEE DIRECTOR COMPENSATION POLICY As Amended and Restated March 29, 2017 EX-10.3 2 exhibit103ocera-nonxemploy.htm EXHIBIT 10.3 Exhibit 10.3 OCERA THERAPEUTICS, INC. NON-EMPLOYEE DIRECTOR COMPENSATION POLICY As Amended and Restated March 29, 2017 The purpose of this Non-Employee Director Compensation Policy, as amended and restated (this “Policy”), of Ocera Therapeutics, Inc., a Delaware corporation (the “Company”), is to provide a total compensation package that enable
May 9, 2017	10-Q	Ocera Therapeutics 10-Q (Quarterly Report) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-35119 O
May 9, 2017	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 9, 2017 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number) (I.R.S.
May 9, 2017	EX-99.1	Ocera Therapeutics Reports First Quarter 2017 Financial Results and Provides Clinical Update Post-hoc per protocol analysis demonstrates OCR-002 achieved primary endpoint with statistical significance, p=0.034 Company to host conference call and webc EX-99.1 2 exhibit991oceraearningsrel.htm EXHIBIT 99.1 Exhibit 99.1 PRESS RELEASE Ocera Therapeutics Reports First Quarter 2017 Financial Results and Provides Clinical Update Post-hoc per protocol analysis demonstrates OCR-002 achieved primary endpoint with statistical significance, p=0.034 Company to host conference call and webcast today at 4:30 p.m. ET REDWOOD CITY, Calif. and RESEARCH TRIANGLE
April 25, 2017	DEFA14A	Ocera Therapeutics DEFA14A DEFA14A 1 a17-23693defa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as
April 25, 2017	DEF 14A	Ocera Therapeutics DEF 14A DEF 14A 1 oceraproxydocumentsecversi.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commissio
April 17, 2017	SC 13G	OCRX / Ocera Therapeutics, Inc. / PERCEPTIVE ADVISORS LLC - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Ocera Therapeutics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 67552A108 (CUSIP Number) March 8, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: x
March 31, 2017	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 29, 2017 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number) (I.R
March 31, 2017	EX-10.1	AMENDMENT TO AMENDED AND RESTATED AGREEMENT OF EMPLOYMENT Exhibit Exhibit 10.1 AMENDMENT TO AMENDED AND RESTATED AGREEMENT OF EMPLOYMENT This Amendment (?Amendment?) is entered into effective March 29, 2017 , by and between Linda S. Grais, M.D. (hereinafter referred to as ?Executive?), and Ocera Therapeutics, Inc. , a corporation organized and existing under the laws of the State of Delaware (hereinafter referred to as the ?Company?). WHEREAS , the Compa
March 31, 2017	EX-10.2	AMENDMENT TO AMENDED AND RESTATED AGREEMENT OF EMPLOYMENT Exhibit Exhibit 10.2 AMENDMENT TO AMENDED AND RESTATED AGREEMENT OF EMPLOYMENT This Amendment (?Amendment?) is entered into effective March 29, 2017 , by and between Michael Byrnes (hereinafter referred to as ?Executive?), and Ocera Therapeutics, Inc. , a corporation organized and existing under the laws of the State of Delaware (hereinafter referred to as the ?Company?). WHEREAS , the Company and
March 14, 2017	10-K	Ocera Therapeutics 10-K-2016 (Annual Report) 10-K 1 ocera10-k2016.htm 10-K-2016 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2016 OR TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO . Commission file number 0
March 14, 2017	EX-21.1	List of Subsidiaries of the Company. Exhibit 21.1 List of Subsidiaries of the Company. • Ocera Subsidiary, Inc., a Delaware corporation
March 10, 2017	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 ocera-form8xkxearningsrele.htm 8-K - EARNINGS RELEASE UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 10, 2017 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-119227
March 10, 2017	EX-99.1	Ocera Therapeutics Reports Fourth Quarter and Full Year 2016 Financial Results and Provides Corporate Update EX-99.1 2 exhibit991oceraearningsrel.htm EXHIBIT 99.1 Exhibit 99.1 PRESS RELEASE Ocera Therapeutics Reports Fourth Quarter and Full Year 2016 Financial Results and Provides Corporate Update PALO ALTO, Calif. and RESEARCH TRIANGLE PARK, N.C., March 10, 2017 - Ocera Therapeutics, Inc. (NASDAQ:OCRX), a clinical stage biopharmaceutical company focused on acute and chronic orphan liver diseases, today
March 8, 2017	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Other Events Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 8, 2017 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Numb
March 8, 2017	EX-99.1	NASDAQ: OCRX M A R C H 2 0 1 7 37th Annual Cowen Healthcare Conference The Boston Marriott Copley Place March 6-8, 2017 A Liver Disease Medicines Company 2 Forward-Looking Statements Certain statements in this presentation constitute “forward-looking oceracowenhealthcareconf NASDAQ: OCRX M A R C H 2 0 1 7 37th Annual Cowen Healthcare Conference The Boston Marriott Copley Place March 6-8, 2017 A Liver Disease Medicines Company 2 Forward-Looking Statements Certain statements in this presentation constitute ?forward-looking statements? within the meaning of the Securities Act of 1933, as amended (the ?Securities Act?), and Securities Exchange Act
March 8, 2017	EX-99.2	Ocera to Announce Additional Encouraging Results from its Phase 2b STOP-HE Study of IV OCR-002 in Patients with Hepatic Encephalopathy IV OCR-002 statistically significantly normalized ammonia faster than standard of care Ammonia reduction statistica Exhibit Exhibit 99.2 PRESS RELEASE Ocera to Announce Additional Encouraging Results from its Phase 2b STOP-HE Study of IV OCR-002 in Patients with Hepatic Encephalopathy IV OCR-002 statistically significantly normalized ammonia faster than standard of care Ammonia reduction statistically significantly correlated with clinical improvement in HE symptoms Ocera plans to meet with FDA in Q3 2017 to in
February 14, 2017	SC 13G/A	OCRX / Ocera Therapeutics, Inc. / VENROCK HEALTHCARE CAPITAL PARTNERS LP - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Ocera Therapeutics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 67552A108 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t
February 14, 2017	SC 13G/A	OCRX / Ocera Therapeutics, Inc. / GREAT POINT PARTNERS LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* Ocera Therapeutics Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 67552A108 (CUSIP Number) December 31, 2016 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which th
February 10, 2017	SC 13D/A	OCRX / Ocera Therapeutics, Inc. / THOMAS MCNERNEY & PARTNERS LP - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* Ocera Therapeutics, Inc. (Name of Issuer) Common Stock, $0.00001 par value (Title of Class of Securities) 89413J102 (CUSIP Number) Thomas, McNerney & Partners 12527 Central Avenue NE #297 Minneapolis, MN 55434 (612) 465-8660 (Name, Address and T
February 10, 2017	EX-99.1	AGREEMENT EX-1 Exhibit 1 CUSIP No. 89413J102 13D Page 1 of 2 Pages AGREEMENT Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, the undersigned hereby agree that only one statement containing the information required by Schedule 13D need be filed with respect to the ownership by each of the undersigned of shares of stock of Ocera Therapeutics, Inc. EXECUTED this 10th day of February, 20
February 9, 2017	SC 13G/A	OCRX / Ocera Therapeutics, Inc. / QVT Financial LP - AMENDMENT NO. 2 TO SCHEDULE 13G Passive Investment Amendment No. 2 to Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Ocera Therapeutics, Inc. (Name of Issuer) Common Stock, $0.00001 par value per share (Title of Class of Securities) 67552A108 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check t
February 9, 2017	SC 13D/A	OCRX / Ocera Therapeutics, Inc. / InterWest Partners IX, LP - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No.
February 9, 2017	EX-99.A	JOINT FILING STATEMENT EX-99.A Exhibit A JOINT FILING STATEMENT I, the undersigned, hereby express my agreement that the attached Schedule 13D (and any amendments thereto) relating to the Common Stock of Ocera Therapeutics, Inc. is filed on behalf of each of the undersigned. Date: February 9, 2017 INTERWEST PARTNERS IX, L.P. By: InterWest Management Partners IX, LLC Its: General Partner By: /s/ Gilbert H. Kliman GILBERT
February 2, 2017	EX-99.1	AGREEMENT EX-1 CUSIP No. 89413J102 13D Page 1 of 2 Pages EXHIBIT 1 AGREEMENT Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, the undersigned hereby agree that only one statement containing the information required by Schedule 13D need be filed with respect to the ownership by each of the undersigned of shares of stock of Ocera Therapeutics, Inc. EXECUTED this 2nd day of February, 201
February 2, 2017	SC 13D/A	OCRX / Ocera Therapeutics, Inc. / THOMAS MCNERNEY & PARTNERS LP - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Ocera Therapeutics, Inc. (Name of Issuer) Common Stock, $0.00001 par value (Title of Class of Securities) 89413J102 (CUSIP Number) Thomas, McNerney & Partners 12527 Central Avenue NE #297 Minneapolis, MN 55434 (612) 465-8660 (Name, Address and T
January 30, 2017	EX-99.1	Ocera Announces Top-line Results for Phase 2b Study in Hepatic Encephalopathy Primary and Secondary Endpoints Showed Trend and Dose-Related Clinical Benefit Although Not Statistically Significant Ammonia Scavenger OCR-002 Demonstrated Statistically S EX-99.1 2 a17-34201ex99d1.htm EX-99.1 Exhibit 99.1 PRESS RELEASE Ocera Announces Top-line Results for Phase 2b Study in Hepatic Encephalopathy Primary and Secondary Endpoints Showed Trend and Dose-Related Clinical Benefit Although Not Statistically Significant Ammonia Scavenger OCR-002 Demonstrated Statistically Significant Reduction in Ammonia Levels OCR-002 Was Safe and Well-Tolerated Management
January 30, 2017	8-K	Financial Statements and Exhibits, Other Events 8-K 1 a17-342018k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 30, 2017 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (
January 9, 2017	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Other Events Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 5, 2017 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Nu
January 9, 2017	EX-99.1	A Liver Disease Medicines Company NASDAQ: OCRX J A N UA R Y 2 0 1 7 2 Forward‐Looking Statements Certain statements in this presentation constitute “forward‐looking statements” within the meaning of the Securities Act of 1933, as amended (the “Securi ocerapresentationjanuary A Liver Disease Medicines Company NASDAQ: OCRX J A N UA R Y 2 0 1 7 2 Forward?Looking Statements Certain statements in this presentation constitute ?forward?looking statements? within the meaning of the Securities Act of 1933, as amended (the ?Securities Act?), and Securities Exchange Act of 1934, as amended (?Exchange Act?), including, without limitation, all statements r
January 9, 2017	EX-99.2	Ocera Announces Successful Phase 1 Clinical Study of Orally-Administered OCR-002 in Patients with Cirrhosis Data Support Feasibility of Oral OCR-002 as Maintenance Therapy for Patients with Hepatic Encephalopathy Company Plans to Initiate Phase 2a in Exhibit Exhibit 99.2 PRESS RELEASE Ocera Announces Successful Phase 1 Clinical Study of Orally-Administered OCR-002 in Patients with Cirrhosis Data Support Feasibility of Oral OCR-002 as Maintenance Therapy for Patients with Hepatic Encephalopathy Company Plans to Initiate Phase 2a in H1 2017 with New Optimized Tablet Formulation PALO ALTO, Calif. and RESEARCH TRIANGLE PARK, N.C., January 5, 2017
December 7, 2016	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 7, 2016 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number) (I
December 7, 2016	EX-99.1	Ocera Completes Enrollment of STOP-HE, a Phase 2b Study of OCR-002 in Hospitalized Patients with Hepatic Encephalopathy —Top-line Data Expected in First Quarter 2017— Exhibit 99.1 PRESS RELEASE Ocera Completes Enrollment of STOP-HE, a Phase 2b Study of OCR-002 in Hospitalized Patients with Hepatic Encephalopathy ?Top-line Data Expected in First Quarter 2017? PALO ALTO, Calif. and RESEARCH TRIANGLE PARK, N.C., December 7, 2016 ? Ocera Therapeutics, Inc. (NASDAQ:OCRX), today announced it has completed enrollment in its Phase 2b STOP-HE Study evaluating the effica
November 2, 2016	10-Q	Ocera Therapeutics 10-Q- SEPTEMBER 2016 (Quarterly Report) 10-Q 1 ocera3q-201610q.htm 10-Q- SEPTEMBER 2016 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period
November 2, 2016	EX-99.1	Ocera Therapeutics Reports Third Quarter 2016 Financial Results and Company Update Exhibit Exhibit 99.1 PRESS RELEASE Ocera Therapeutics Reports Third Quarter 2016 Financial Results and Company Update PALO ALTO, Calif. and RESEARCH TRIANGLE PARK, N.C., November 2, 2016 - Ocera Therapeutics, Inc. (NASDAQ:OCRX), a clinical stage biopharmaceutical company focused on acute and chronic orphan liver diseases, today reported financial results for the quarter ended September 30, 2016, a
November 2, 2016	8-K	Ocera Therapeutics 8-K - EARNINGS RELEASE (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 2, 2016 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File N
October 28, 2016	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 26, 2016 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number) (I
October 28, 2016	EX-99.1	Ocera Therapeutics Appoints Biopharmaceutical Veteran Willard Dere, M.D. to Board of Directors EX-99.1 2 oceratherapeuticsappointsb.htm EXHIBIT 99.1 PRESS RELEASE Exhibit 99.1 PRESS RELEASE Ocera Therapeutics Appoints Biopharmaceutical Veteran Willard Dere, M.D. to Board of Directors PALO ALTO, Calif. and RESEARCH TRIANGLE PARK, N.C., October 28, 2016 – Ocera Therapeutics, Inc. (NASDAQ:OCRX), today announced that Willard Dere, M.D., Professor of Internal Medicine at the University of Utah H
October 28, 2016	EX-24	POWER OF ATTORNEY Exhibit Exhibit 24.1 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of Linda S. Grais, M.D., and Michael Byrnes, signing singly, the undersigned?s true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned?s capacity as an officer and/or director of Ocera Therapeutics, Inc. (the ?Company?), Form
September 21, 2016	EX-99.1	Ocera Announces Enrollment Completion From Phase 2a NIH-Sponsored Study of OCR-002 in the Treatment of Patients with Acute Liver Failure Exhibit 99.1 PRESS RELEASE Ocera Announces Enrollment Completion From Phase 2a NIH-Sponsored Study of OCR-002 in the Treatment of Patients with Acute Liver Failure PALO ALTO, Calif. and RESEARCH TRIANGLE PARK, N.C., September 21, 2016 – Ocera Therapeutics, Inc. (NASDAQ:OCRX), today announced completion of enrollment in STOP-ALF, a Phase 2a clinical trial to evaluate the S afety and T olerability o
September 21, 2016	8-K	Ocera Therapeutics 8-K- OCERA ANNOUNCES STOP-ALF ENROLLMENT COMPLETION (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 21, 2016 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File
September 19, 2016	8-K	Financial Statements and Exhibits, Other Events Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 19, 2016 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File
September 19, 2016	EX-99.1	Ocera Initiates Phase 1 Clinical Study of Orally Available OCR-002 in Patients with Cirrhosis for the Prevention of Hepatic Encephalopathy --Phase 2b STOP-HE Enrollment Surpasses 205 Patients; On Track to Complete in Q4 2016-- Exhibit Exhibit 99.1 PRESS RELEASE Ocera Initiates Phase 1 Clinical Study of Orally Available OCR-002 in Patients with Cirrhosis for the Prevention of Hepatic Encephalopathy -Phase 2b STOP-HE Enrollment Surpasses 205 Patients; On Track to Complete in Q4 2016- PALO ALTO, Calif. and RESEARCH TRIANGLE PARK, N.C., September 19, 2016 - Ocera Therapeutics, Inc. (NASDAQ:OCRX), a clinical stage biopharmac
September 15, 2016	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 15, 2016 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number)
August 4, 2016	10-Q	Ocera Therapeutics 10-Q JUNE 30 2016 (Quarterly Report) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2016 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-35119 Oc
August 4, 2016	EX-10.2	THIRD AMENDMENT TO LEASE AGREEMENT Exhibit Exhibit 10.2 THIRD AMENDMENT TO LEASE AGREEMENT This Third Amendment to Lease Agreement (?Third Amendment?) is entered into on May 16, 2016 (?Effective Date?) by and between James Campbell Company LLC, a Delaware limited liability company (?Landlord?) and Ocera Therapeutics, Inc. , a Delaware corporation f/k/a Tranzyme, Inc. (?Tenant?). RECITALS: A. Landlord and Tenant entered into an Offi
August 3, 2016	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 3, 2016 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number) (I.R
August 3, 2016	EX-99.1	Ocera Therapeutics Reports Second Quarter 2016 Financial Results and Company Update Exhibit Exhibit 99.1 PRESS RELEASE Ocera Therapeutics Reports Second Quarter 2016 Financial Results and Company Update PALO ALTO, Calif. and RESEARCH TRIANGLE PARK, N.C., August 3, 2016 - Ocera Therapeutics, Inc. (NASDAQ:OCRX), a clinical stage biopharmaceutical company focused on acute and chronic orphan liver diseases, today reported financial results for the quarter ended June 30, 2016, and pro
June 21, 2016	8-K	Regulation FD Disclosure UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 21, 2016 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number) (I.R.
June 15, 2016	S-8	Ocera Therapeutics S-8 S-8 1 a16-133902s8.htm S-8 As filed with the Securities and Exchange Commission on June 15, 2016 Registration No. 333- SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 OCERA THERAPEUTICS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation or Organization) 63-119
June 15, 2016	EX-10.1	OCERA THERAPEUTICS, INC. FOURTH AMENDED AND RESTATED 2011 STOCK OPTION AND INCENTIVE PLAN EXHIBIT 10.1 OCERA THERAPEUTICS, INC. FOURTH AMENDED AND RESTATED 2011 STOCK OPTION AND INCENTIVE PLAN SECTION 1. GENERAL PURPOSE OF THE PLAN; DEFINITIONS The name of the plan is the Ocera Therapeutics, Inc. Fourth Amended and Restated 2011 Stock Option and Incentive Plan (the ?Plan?). The purpose of the Plan is to encourage and enable the officers, employees, Non-Employee Directors and other key
June 15, 2016	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 14, 2016 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number) (I.R.
May 3, 2016	10-Q	Ocera Therapeutics 10-Q MARCH 31, 2016 (Quarterly Report) 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2016 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-35119 Ocera
May 3, 2016	EX-10.1	AMENDED AND RESTATED AGREEMENT OF EMPLOYMENT Exhibit Exhibit 10.1 AMENDED AND RESTATED AGREEMENT OF EMPLOYMENT THIS AMENDED AND RESTATED AGREEMENT OF EMPLOYMENT (the ?Agreement?) is made as of the 8 th day of April, 2016 (the ?Effective Date?), by and between Linda S. Grais, M.D. (hereinafter referred to as ?Executive?), and Ocera Therapeutics, Inc. , a corporation organized and existing under the laws of the State of Delaware (hereinafter r
May 3, 2016	EX-10.2	AMENDED AND RESTATED AGREEMENT OF EMPLOYMENT Exhibit Exhibit 10.2 AMENDED AND RESTATED AGREEMENT OF EMPLOYMENT THIS AMENDED AND RESTATED AGREEMENT OF EMPLOYMENT (the ?Agreement?) is made as of the 8 th day of April, 2016 (the ?Effective Date?), by and between Gaurav Aggarwal, M.D. (hereinafter referred to as ?Executive?), and Ocera Therapeutics, Inc. , a corporation organized and existing under the laws of the State of Delaware (hereinafter
May 3, 2016	EX-10.3	OCERA THERAPEUTICS, INC. NON-EMPLOYEE DIRECTOR COMPENSATION POLICY As Amended and Restated March 31, 2016 Exhibit Exhibit 10.3 OCERA THERAPEUTICS, INC. NON-EMPLOYEE DIRECTOR COMPENSATION POLICY As Amended and Restated March 31, 2016 The purpose of this Non-Employee Director Compensation Policy, as amended and restated (this ?Policy?), of Ocera Therapeutics, Inc., a Delaware corporation (the ?Company?), is to provide a total compensation package that enables the Company to attract and retain, on a long
April 29, 2016	8-K	Ocera Therapeutics OCERA THERAPEUTICS 8-K EARNING RELEASE MARCH 2016 (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 29, 2016 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number)
April 29, 2016	EX-99.1	Ocera Therapeutics Reports First Quarter 2016 Financial Results and Pipeline Progress -- Company on target to complete enrollment in STOP-HE in the fourth quarter; approximately 165 patients enrolled to date -- -- Study with orally-available OCR-002 EX-99.1 2 q12016xhibitforearningsrel.htm EXHIBIT 99.1 - PRESS RELEASE Exhibit 99.1 PRESS RELEASE Ocera Therapeutics Reports First Quarter 2016 Financial Results and Pipeline Progress - Company on target to complete enrollment in STOP-HE in the fourth quarter; approximately 165 patients enrolled to date - - Study with orally-available OCR-002 in patients with cirrhosis to begin in the third quarter
April 22, 2016	DEFA14A	Ocera Therapeutics DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin
April 22, 2016	DEF 14A	Ocera Therapeutics DEF 14A Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
March 11, 2016	10-K	Ocera Therapeutics OCERA 10-K 2015 (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2015 OR TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO . Commission file number 001-35119 OCERA THERAPEUTICS, INC. (
March 11, 2016	EX-10.1	SECOND AMENDED AND RESTATED LICENSE AGREEMENT Confidential Exhibit 10.1 CERTAIN CONFIDENTIAL PORTIONS OF THIS EXHIBIT WERE OMITTED AND REPLACED WITH “[***]”. A COMPLETE VERSION OF THIS EXHIBIT HAS BEEN FILED SEPARATELY WITH THE SECRETARY OF THE SECURITIES AND EXCHANGE COMMISSION PURSUANT TO AN APPLICATION REQUESTING CONFIDENTIAL TREATMENT UNDER RULE 24b-2 OF THE SECURITIES EXCHANGE ACT OF 1934. SECOND AMENDED AND RESTATED LICENSE AGREEMENT TH
March 11, 2016	EX-21.1	List of Subsidiaries of the Company. Exhibit 21.1 List of Subsidiaries of the Company. • Ocera Subsidiary, Inc., a Delaware corporation
March 11, 2016	EX-10.2	OCERA THERAPEUTICS, INC. NON-EMPLOYEE DIRECTOR COMPENSATION POLICY As Amended and Restated April 23, 2015 Exhibit 10.2 OCERA THERAPEUTICS, INC. NON-EMPLOYEE DIRECTOR COMPENSATION POLICY As Amended and Restated April 23, 2015 The purpose of this Non-Employee Director Compensation Policy, as amended and restated (this “Policy”), of Ocera Therapeutics, Inc., a Delaware corporation (the “Company”), is to provide a total compensation package that enables the Company to attract and retain, on a long-term ba
March 3, 2016	8-K	Ocera Therapeutics OCERA THERAPEUTICS 8-K EARNING RELEASE DECEMBER 2015 (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 3, 2016 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number) (
March 3, 2016	EX-99.1	Ocera Therapeutics Reports Fourth Quarter and Full Year 2015 Financial Results and Provides Corporate Update -- Patient enrollment progressing in STOP-HE clinical trial of OCR-002; Company expects to complete enrollment in the fourth quarter of 2016 Exhibit Exhibit 99.1 PRESS RELEASE Ocera Therapeutics Reports Fourth Quarter and Full Year 2015 Financial Results and Provides Corporate Update - Patient enrollment progressing in STOP-HE clinical trial of OCR-002; Company expects to complete enrollment in the fourth quarter of 2016 - - OCR-002 is the only ammonia scavenger in development for both treatment and prevention of hepatic encephalopathy
March 3, 2016	SC 13G	OCRX / Ocera Therapeutics, Inc. / VENROCK HEALTHCARE CAPITAL PARTNERS LP - SCHEDULE 13G 3-4-16 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Ocera Therapeutics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 67552A108 (CUSIP Number) February 23, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this
February 17, 2016	SC 13D/A	OCRX / Ocera Therapeutics, Inc. / THOMAS MCNERNEY & PARTNERS LP - OCERA THERAPEUTICS, INC. - AMEND. NO. 2 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Ocera Therapeutics, Inc. (Name of Issuer) Common Stock, $0.00001 par value (Title of Class of Securities) 89413J102 (CUSIP Number) Thomas, McNerney & Partners 45 South 7th Street, Suite 3060 Minneapolis, MN 55402 (612) 465-8660 (Name, Address and Telepho
February 16, 2016	SC 13G/A	OCRX / Ocera Therapeutics, Inc. / GREAT POINT PARTNERS LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Ocera Therapeutics Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 67552A108 (CUSIP Number) December 31, 2015 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which th
February 10, 2016	SC 13G/A	OCRX / Ocera Therapeutics, Inc. / QVT Financial LP - AMENDMENT NO.1 TO SCHEDULE 13G Passive Investment Amendment No.1 to Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Ocera Therapeutics, Inc. (Name of Issuer) Common Stock, $0.00001 par value per share (Title of Class of Securities) 67552A108 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check th
January 8, 2016	EX-10.2	AMENDED AND RESTATED AGREEMENT OF EMPLOYMENT Exhibit Exhibit 10.2 AMENDED AND RESTATED AGREEMENT OF EMPLOYMENT THIS AMENDED AND RESTATED AGREEMENT OF EMPLOYMENT (the ?Agreement?) is made as of the 6 th day of January, 2016 (the ?Effective Date?), by and between Michael Byrnes (hereinafter referred to as the ?Executive?), and Ocera Therapeutics, Inc. , a corporation organized and existing under the laws of the State of Delaware (hereinafter r
January 8, 2016	EX-10.1	AGREEMENT OF EMPLOYMENT EX-10.1 2 ocera-bukofzeremploymentag.htm EXHIBIT 10.1- NEW CMO EMPLOYMENT AGREEMENT Exhibit 10.1 AGREEMENT OF EMPLOYMENT THIS AGREEMENT OF EMPLOYMENT (the “Agreement”) is made as of the 5th day of January, 2016 (the “Effective Date”), by and between Stan Bukofzer, M.D. (hereinafter referred to as the “Executive”), and Ocera Therapeutics, Inc., a corporation organized and existing under the laws of
January 8, 2016	EX-99.2	Ocera Announces Complete Plasma Data from Pilot Phase 1 Study for Orally-Available OCR-002 in Development for the Prevention of Chronic Hepatic Encephalopathy Study demonstrated a robust, extended-release profile for all OCR-002 prototype extended-re EX-99.2 5 oceraannouncesadditionalpo.htm EXHIBIT 99.2 - PRESS RELEASE ANNOUNCING ADDITIONAL PHASE 1 ORAL DATA Exhibit 99.2 PRESS RELEASE Ocera Announces Complete Plasma Data from Pilot Phase 1 Study for Orally-Available OCR-002 in Development for the Prevention of Chronic Hepatic Encephalopathy Study demonstrated a robust, extended-release profile for all OCR-002 prototype extended-release formula
January 8, 2016	EX-99.1	Ocera Appoints Dr. Stan Bukofzer as Chief Medical Officer Exhibit Exhibit 99.1 PRESS RELEASE Ocera Appoints Dr. Stan Bukofzer as Chief Medical Officer PALO ALTO, Calif. and RESEARCH TRIANGLE PARK, N.C., January 7, 2016 – Ocera Therapeutics, Inc. (NASDAQ:OCRX), a clinical stage biopharmaceutical company focused on acute and chronic orphan liver diseases, today announced the appointment of Dr. Stan Bukofzer as Chief Medical Officer. Dr. Bukofzer most recen
January 8, 2016	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Other Events 8-K 1 ocera-form8xkx502newcmoand.htm 8-K- OCERA NEW CMO AND CFO EMPLOYMENT AGREEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 5, 2016 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DE
January 7, 2016	EX-24	POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of Linda S. Grais, M.D., and Michael Byrnes, signing singly, the undersigned’s true and lawful attorney-in-fact to: (1) execute for and on behalf ocerapowerofattorneyb78d POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of Linda S.
November 16, 2015	EX-99.1	Ocera Announces Positive Phase 1 Results for Oral OCR-002 in Development for the Prevention of Chronic Hepatic Encephalopathy Preliminary pharmacokinetic data demonstrate promising extended-release profiles Exhibit Exhibit 99.1 PRESS RELEASE Ocera Announces Positive Phase 1 Results for Oral OCR-002 in Development for the Prevention of Chronic Hepatic Encephalopathy Preliminary pharmacokinetic data demonstrate promising extended-release profiles PALO ALTO, Calif. and RESEARCH TRIANGLE PARK, N.C., November 16, 2015 - Ocera Therapeutics, Inc. (NASDAQ:OCRX), a clinical stage biopharmaceutical company foc
November 16, 2015	8-K	Financial Statements and Exhibits, Other Events 8-K 1 ocera-form8xkannouncingres.htm 8-K - OCERA ANNOUNCES PHASE 1 ORAL STUDY RESULTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 16, 2015 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter)
November 5, 2015	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 o TRANSITION REPO UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-35119 Ocera
November 4, 2015	8-K	Ocera Therapeutics OCERA THERAPEUTICS 8-K EARNING RELEASE Q3 2015 (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 4, 2015 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number
November 4, 2015	EX-99.1	Ocera Therapeutics Reports Third Quarter 2015 Financial Results STOP-HE Reaches 50% Enrollment; Expected Completion H2 2016 6 Accepted Abstracts at The Liver Meeting® 2015 Underscore the Potential Breadth of Therapeutic Application for OCR-002 Exhibit Exhibit 99.1 PRESS RELEASE Ocera Therapeutics Reports Third Quarter 2015 Financial Results STOP-HE Reaches 50% Enrollment; Expected Completion H2 2016 6 Accepted Abstracts at The Liver Meeting® 2015 Underscore the Potential Breadth of Therapeutic Application for OCR-002 PALO ALTO, Calif. and RESEARCH TRIANGLE PARK, N.C., November 4, 2015 - Ocera Therapeutics, Inc. (NASDAQ:OCRX), a clinical
October 23, 2015	SC 13G	OCRX / Ocera Therapeutics, Inc. / QVT Financial LP - SCHEDULE 13G Passive Investment Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Ocera Therapeutics, Inc. (Name of Issuer) Common Stock, $0.00001 par value per share (Title of Class of Securities) 67552A108 (CUSIP Number) October 15, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to
October 23, 2015	EX-99.A	JOINT FILING AGREEMENT Exhibit A EXHIBIT A JOINT FILING AGREEMENT The undersigned hereby agree that the statement on Schedule 13G filed herewith (and any amendments thereto) signed by each of the undersigned shall be filed on behalf of each of the undersigned pursuant to and in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended.
October 5, 2015	EX-99.1	Ocera Therapeutics Highlights OCR-002 Data to be Presented at the Annual Meeting of the American Association for the Study of Liver Diseases (AASLD) 6 accepted abstracts underscore the potential breadth of therapeutic application for OCR-002 Exhibit Exhibit 99.1 PRESS RELEASE Ocera Therapeutics Highlights OCR-002 Data to be Presented at the Annual Meeting of the American Association for the Study of Liver Diseases (AASLD) 6 accepted abstracts underscore the potential breadth of therapeutic application for OCR-002 PALO ALTO, Calif. and RESEARCH TRIANGLE PARK, N.C., October 5, 2015 ? Ocera Therapeutics, Inc. (NASDAQ:OCRX), a clinical st
October 5, 2015	8-K	Ocera Therapeutics 8-K - HIGHLIGHTS OF OCR-002 DATA TO BE PRESENTED AT AASLD (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 5, 2015 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number)
September 16, 2015	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 16, 2015 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number)
September 16, 2015	EX-99.1	Ocera Initiates Phase 1 Clinical Trial of Oral Drug Candidate OCR-002 for Prevention of Hepatic Encephalopathy Company Strengthens Leadership Team with Two New Hires Exhibit Exhibit 99.1 PRESS RELEASE Ocera Initiates Phase 1 Clinical Trial of Oral Drug Candidate OCR-002 for Prevention of Hepatic Encephalopathy Company Strengthens Leadership Team with Two New Hires PALO ALTO, Calif. and RESEARCH TRIANGLE PARK, N.C., September 16, 2015 - Ocera Therapeutics, Inc. (NASDAQ:OCRX), a clinical stage biopharmaceutical company focused on acute and chronic orphan liver d
August 10, 2015	EX-10.2	SECOND AMENDMENT TO LEASE AGREEMENT Exhibit 10.2 SECOND AMENDMENT TO LEASE AGREEMENT This Second Amendment to Lease Agreement (?Second Amendment?) is entered into on June 5, 2015 (?Effective Date?) by and between James Campbell Company LLC, a Delaware limited liability company (?Landlord?) and Ocera Therapeutics, Inc., a Delaware corporation f/k/a Tranzyme, Inc. (?Tenant?). RECITALS: A. Landlord and Tenant entered into an Office Lea
August 10, 2015	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2015 o TRANSITION REPORT PU UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2015 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-35119 Ocera Thera
August 10, 2015	EX-10.3	OCERA THERAPEUTICS, INC. $25,000,000 SALES AGREEMENT Exhibit 10.3 OCERA THERAPEUTICS, INC. $25,000,000 SALES AGREEMENT May 15, 2015 Cowen and Company, LLC 599 Lexington Avenue New York, NY 10022 Ladies and Gentlemen: Ocera Therapeutics, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with Cowen and Company, LLC (“Cowen”), as follows: 1. Issuance and Sale of Shares. The Company agrees that, from time to time du
August 4, 2015	EX-10.1	LOAN AND SECURITY AGREEMENT FinalLoanandSecurityAgreement Exhibit 10.1 LOAN AND SECURITY AGREEMENT THIS LOAN AND SECURITY AGREEMENT (as the same may from time to time be amended, modified, supplemented or restated, this ? Agreement ?) dated as of July 30, 2015 (the ? Effective Date ?) among OXFORD FINANCE LLC, a Delaware limited liability company with an office located at 133 North Fairfax Street, Alexandria, Virginia 22314
August 4, 2015	EX-4.1	WARRANT TO PURCHASE STOCK WarrantStockOxford Exhibit 4.1 THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ? ACT ?), OR THE SECURITIES LAWS OF ANY STATE AND, EXCEPT AS SET FORTH IN SECTIONS 5.3 AND 5.4 BELOW, MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED UNLESS AND UNTIL REGISTERED UNDER SAID ACT AND LAWS OR, IN THE OPINION OF LEGAL COUNSE
August 4, 2015	EX-4.2	WARRANT TO PURCHASE COMMON STOCK Exhibit 4.2 THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ ACT ”), OR THE SECURITIES LAWS OF ANY STATE AND, EXCEPT AS SET FORTH IN SECTIONS 5.3 AND 5.4 BELOW, MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED UNLESS AND UNTIL REGISTERED UNDER SAID ACT AND LAWS OR IN FORM AND SUBSTANCE SATISFACTORY TO THE COMPANY,
August 4, 2015	8-K	Ocera Therapeutics 8-K- OCERA ANNOUNCES LOAN AND SECURITY AGREEMENT WITH SVB AND OXFORD (Current Report/Significant Event) Ocera-Form8-K-LoanAgreementAugust20152 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
August 3, 2015	8-K	Ocera Therapeutics OCERA THERAPEUTICS 8-K EARNING RELEASE Q2 2015 (Current Report/Significant Event) Ocera-Form8-K-EarningsReleaseAugust2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
August 3, 2015	EX-99.1	Ocera Therapeutics Reports Second Quarter 2015 Financial Results Continued Strong Enrollment in STOP-HE On Track for Initiation of Phase 1 Trial with Oral Formulation of OCR-002 in Third Quarter $20 Million Debt Facility Extends Cash Resources to Mid OceraTherapeuticsReportsSecondQuarter2015FinancialResults Exhibit 99.1 PRESS RELEASE Ocera Therapeutics Reports Second Quarter 2015 Financial Results Continued Strong Enrollment in STOP-HE On Track for Initiation of Phase 1 Trial with Oral Formulation of OCR-002 in Third Quarter $20 Million Debt Facility Extends Cash Resources to Mid-2017 PALO ALTO, Calif. and RESEARCH TRIANGLE PARK, N.C., August
July 2, 2015	S-8	Ocera Therapeutics S-8 As filed with the Securities and Exchange Commission on July 2, 2015 Registration No.
June 22, 2015	EX-10.1	OCERA THERAPEUTICS, INC. THIRD AMENDED AND RESTATED 2011 STOCK OPTION AND INCENTIVE PLAN Exhibit 10.1 OCERA THERAPEUTICS, INC. THIRD AMENDED AND RESTATED 2011 STOCK OPTION AND INCENTIVE PLAN SECTION 1. GENERAL PURPOSE OF THE PLAN; DEFINITIONS The name of the plan is the Ocera Therapeutics, Inc. Third Amended and Restated 2011 Stock Option and Incentive Plan (the ?Plan?). The purpose of the Plan is to encourage and enable the officers, employees, Non-Employee Directors and other key pe
June 22, 2015	8-K	Ocera Therapeutics 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 18, 2015 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number) (I.R.
May 27, 2015	S-3/A	As filed with the Securities and Exchange Commission on May 26, 2015 Table of Contents As filed with the Securities and Exchange Commission on May 26, 2015 Registration No.
May 27, 2015	EX-4.2	OCERA THERAPEUTICS, INC. Dated as of , 20 Subordinated Debt Securities Exhibit 4.2 OCERA THERAPEUTICS, INC. TO Trustee Indenture Dated as of , 20 Subordinated Debt Securities TABLE OF CONTENTS Page ARTICLE ONE - DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION 1 SECTION 101. Definitions 1 SECTION 102. Compliance Certificates and Opinions 12 SECTION 103. Form of Documents Delivered to Trustee 12 SECTION 104. Acts of Holders 13 SECTION 105. Notices, etc., to Tru
May 27, 2015	EX-4.1	OCERA THERAPEUTICS, INC. Dated as of , 20 Senior Debt Securities Exhibit 4.1 OCERA THERAPEUTICS, INC. TO Trustee Indenture Dated as of , 20 Senior Debt Securities TABLE OF CONTENTS Page ARTICLE ONE - DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION 1 SECTION 101. Definitions 1 SECTION 102. Compliance Certificates and Opinions 10 SECTION 103. Form of Documents Delivered to Trustee 11 SECTION 104. Acts of Holders 11 SECTION 105. Notices, etc., to Trustee a
May 15, 2015	EX-1.2	OCERA THERAPEUTICS, INC. SALES AGREEMENT EX-1.2 2 a15-117041ex1d2.htm EX-1.2 Exhibit 1.2 OCERA THERAPEUTICS, INC. $25,000,000 SALES AGREEMENT May 15, 2015 Cowen and Company, LLC 599 Lexington Avenue New York, NY 10022 Ladies and Gentlemen: Ocera Therapeutics, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with Cowen and Company, LLC (“Cowen”), as follows: 1. Issuance and Sale of Shares. The Compan
May 15, 2015	S-3	Ocera Therapeutics S-3 Table of Contents As filed with the Securities and Exchange Commission on May 15, 2015 Registration No.
May 7, 2015	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 o TRANSITION REPORT P UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-35119 Ocera Ther
May 4, 2015	8-K	Ocera Therapeutics 8-K- DEPARTURE OF DIRECTORS (Current Report/Significant Event) Ocera-Form8-K-PatniResignationMay2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
April 30, 2015	EX-99.1	Ocera Reports Pipeline Progress and First Quarter 2015 Financial Results Strong Enrollment in STOP-HE Trial Conference Call and Webcast at 10:00 a.m. ET Exhibit 99.1 PRESS RELEASE Ocera Reports Pipeline Progress and First Quarter 2015 Financial Results Strong Enrollment in STOP-HE Trial Conference Call and Webcast at 10:00 a.m. ET PALO ALTO, Calif., April 30, 2015 - Ocera Therapeutics, Inc. (NASDAQ: OCRX), a clinical stage biopharmaceutical company focused on acute and chronic orphan liver diseases, today provided updates on its clinical developme
April 30, 2015	8-K	Ocera Therapeutics PIPELINE PROGRESS AND Q1 FINANCIAL RESULTS (Current Report/Significant Event) Ocera-Form8-KEarningsClinicalUpdateApril2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
April 24, 2015	DEFA14A	Ocera Therapeutics DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin
April 24, 2015	DEF 14A	Ocera Therapeutics DEF 14A DEF 14A 1 a2224470zdef14a.htm DEF 14A Use these links to rapidly review the document Table of Contents Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box
April 24, 2015	8-K	Ocera Therapeutics 8-K- DIRECTORS NOT STANDING FOR RE-ELECTION (Current Report/Significant Event) Ocera-Form8-K-DirectorsNotStandingforReelection2 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
April 1, 2015	8-K	Ocera Therapeutics DATA FPR PHASE 2B TRIAL (Current Report/Significant Event) Ocera-Form8-K-DataforPhase2bTrial UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
April 1, 2015	EX-99.1	Ocera Completes Interim Analysis of OCR-002 in Phase 2b STOP-HE Study for the Treatment of Acute Hepatic Encephalopathy Independent DMC recommends continuation of study OceraCompletesInterimAnalysisofOCR-002inPhase2bSTOP-HEStudyfortheTreatmentofHepaticEncephalopathy (1) PRESS RELEASE Ocera Completes Interim Analysis of OCR-002 in Phase 2b STOP-HE Study for the Treatment of Acute Hepatic Encephalopathy Independent DMC recommends continuation of study PALO ALTO, Calif.
March 13, 2015	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2014 TRANSITION REPORT PURSUANT TO SECTION UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2014 OR TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO . Commission file number 001-35119 OCERA THERAPEUTICS, INC. (
March 11, 2015	8-K	Ocera Therapeutics 8-K (Current Report/Significant Event) Ocera-Form8-KEarningsMarch2015 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.
March 11, 2015	EX-99.1	Ocera Reports Fourth Quarter and Full Year 2014 Financial Results Conference Call Today at 4:30 p.m. ET Exhibit 99.1 Ocera Earnings Release Exhibit 99.1 PRESS RELEASE Ocera Reports Fourth Quarter and Full Year 2014 Financial Results Conference Call Today at 4:30 p.m. ET PALO ALTO, Calif., March 11, 2015 - Ocera Therapeutics, Inc. (NASDAQ: OCRX), a clinical stage biopharmaceutical company focused on acute and chronic orphan liver diseases, today announced updates to its clinical development programs
March 2, 2015	EX-99.1	Bringing Innovative Therapeutics for People with Orphan Liver Disease MARCH 2015 NASDAQ: OCRX Exhibit 99.1 Bringing Innovative Therapeutics for People with Orphan Liver Disease MARCH 2015 NASDAQ: OCRX Forward-Looking Statements Certain statements in this presentation constitute “forward-looking statements” within the meaning of the Securities Act of 1933, as amended (the “Securities Act”), and Securities Exchange Act of 1934, as amended (“Exchange Act”), including, without limitation, all
March 2, 2015	8-K	Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 2, 2015 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number) (I.R.
February 18, 2015	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 18, 2015 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number) (
February 18, 2015	EX-99.1	Ocera Announces Preliminary Topline Results from Phase 2a Investigator-Sponsored Study of OCR-002 Exhibit 99.1 Ocera Announces Preliminary Topline Results from Phase 2a Investigator-Sponsored Study of OCR-002 Palo Alto, CA – February 18, 2015 – Ocera Therapeutics, Inc. (NASDAQ: OCRX) today announced preliminary topline results from a Phase 2a investigator-sponsored study evaluating the company’s drug candidate OCR-002 (ornithine phenylacetate) versus placebo in patients with upper gastrointest
February 17, 2015	SC 13G/A	OCRX / Ocera Therapeutics, Inc. / RA Capital Management, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Ocera Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 67552A108 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th
February 17, 2015	SC 13G/A	OCRX / Ocera Therapeutics, Inc. / Vivo Ventures VI, LLC - AMENDMENT NO. 1 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 – Exit Filing)* Ocera Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.00001 per share (Title of Class of Securities) 67552A108 (CUSIP Number) December 31, 2014 (Date of Event which Requires Filing of this Statement) Check the appropriate box
February 13, 2015	SC 13G/A	OCRX / Ocera Therapeutics, Inc. / VENROCK HEALTHCARE CAPITAL PARTNERS LP - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* OCERA THERAPEUTICS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 67552A108 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which t
February 13, 2015	SC 13D/A	OCRX / Ocera Therapeutics, Inc. / THOMAS MCNERNEY & PARTNERS LP - OCERA THERAPEUTICS, INC. - AMEND. NO. 1 Activist Investment SC 13D/A 1 ocera-sch13da17765.htm OCERA THERAPEUTICS, INC. - AMEND. NO. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Ocera Therapeutics, Inc. (Name of Issuer) Common Stock, $0.00001 par value (Title of Class of Securities) 89413J102 (CUSIP Number) Thomas, McNerney & Partners 45 South 7th Street,
February 11, 2015	SC 13G/A	OCRX / Ocera Therapeutics, Inc. / QVT Financial LP - SCHEDULE 13G/A Passive Investment SC 13G/A 1 d869223dsc13ga.htm SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Ocera Therapeutics, Inc. (Name of Issuer) Common Stock, $0.00001 par value per share (Title of Class of Securities) 67552A108 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Stat
December 4, 2014	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 2, 2014 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number) (I
December 4, 2014	EX-99.1	Ocera Therapeutics Promotes Michael Byrnes to Chief Financial Officer Exhibit 99.1 PRESS RELEASE Ocera Therapeutics Promotes Michael Byrnes to Chief Financial Officer Palo Alto, CA – December 3, 2014 – Ocera Therapeutics, Inc. (NASDAQ:OCRX), a clinical-stage biopharmaceutical company focused on acute and chronic orphan liver diseases, today announced the appointment of Michael Byrnes as chief financial officer. “Michael’s exemplary combination of business acumen, pr
November 13, 2014	EX-99.1	Ocera Reports Third Quarter 2014 Financial Results Conference Call Today at 4:30 p.m. ET Exhibit 99.1 Ocera Reports Third Quarter 2014 Financial Results Conference Call Today at 4:30 p.m. ET PALO ALTO, Calif., November 13, 2014 - Ocera Therapeutics, Inc. (NASDAQ: OCRX), a clinical stage biopharmaceutical company focused on acute and chronic orphan liver diseases, today announced recent business highlights and reported financial results for the quarter ended September 30, 2014. “In the
November 13, 2014	EX-10.1	FIRST AMENDMENT TO LEASE AGREEMENT Exhibit 10.1 FIRST AMENDMENT TO LEASE AGREEMENT This First Amendment to Lease Agreement ("First Amendment") is entered into on August 20, 2014 ("Effective Date") by and between James Campbell Company LLC, a Delaware limited liability company ("Landlord") and Ocera Therapeutics, Inc., a Delaware corporation f/k/a Tranzyme, Inc. ("Tenant"). RECITALS: A.Landlord and Tenant entered into an Office Leas
November 13, 2014	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 13, 2014 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number) (
November 13, 2014	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2014 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-35119 Ocera
October 3, 2014	CORRESP	OCRX / Ocera Therapeutics, Inc. CORRESP - - October 3, 2014 VIA EDGAR Jeffrey P. Riedler Assistant Director Division of Corporation Finance U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Ocera Therapeutics, Inc. Form 10-K for the Fiscal Year Ended December 31, 2013 Filed March 18, 2014 File No. 001-35119 Dear Mr. Riedler: We have received the comment letter dated September 25, 2014 of the Staff of the Di
September 22, 2014	EX-10.1	Ocera Therapeutics, Inc. June 17, 2014 Michael Byrnes Dear Mike, Ocera Therapeutics, Inc. (the “Company”) is pleased to offer you employment on the following terms: 1. Position. Your title will be Vice President, Finance, reporting to Linda Grais, CEO and to Sharon Tetlow, Interim CFO. This is a full-time position. While you render services to the Company, you will not engage in any other employment, consulting or other b
September 22, 2014	EX-99.1	Ocera Therapeutics Announces Appointment of Steven P. James to Board Ocera Therapeutics Announces Appointment of Steven P. James to Board Palo Alto, CA – September 18, 2014 – Ocera Therapeutics, Inc. (NASDAQ:OCRX), a clinical stage biopharmaceutical company focused on acute and chronic orphan liver diseases, today announced that Steven P. James has been appointed to the Company’s Board of Directors. Mr. James will serve as the Lead Independent Director and will be
September 22, 2014	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 17, 2014 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number)
September 22, 2014	EX-10.2	OCERA THERAPEUTICS, INC. NON-EMPLOYEE DIRECTOR COMPENSATION POLICY As Amended and Restated EX-10.2 3 exhibit102amendedandrestat.htm AMENDED AND RESTATED NON-EMPLOYEE DIRECTOR COMPENSATION POLICY OCERA THERAPEUTICS, INC. NON-EMPLOYEE DIRECTOR COMPENSATION POLICY As Amended and Restated The purpose of this Non-Employee Director Compensation Policy, as amended and restated (this “Policy”), of Ocera Therapeutics, Inc., a Delaware corporation (the “Company”), is to provide a total compensati
August 13, 2014	EX-10.2	CONSULTING AGREEMENT Exhibit 10.2 CONSULTING AGREEMENT This Consulting Agreement (the “Agreement”) is made effective as of June 2, 2014 (the “Effective Date”), by and between Ocera, a Delaware corporation, with its principal place of business being 525 University Avenue, Suite 610, Palo Alto, CA 94301 (the “Company”) and Danforth Advisors, LLC, a Massachusetts limited liability corporation, with its principal place of
August 13, 2014	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2014 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-35119 Ocera Thera
August 11, 2014	EX-99.2	Ocera Announces Appointment of Rajiv Patni, M.D. as Chief Development Officer EX-99.2 4 a14-188041ex99d2.htm EX-99.2 Exhibit 99.2 Ocera Announces Appointment of Rajiv Patni, M.D. as Chief Development Officer PALO ALTO, Calif., August 11, 2014 — Ocera Therapeutics, Inc. (Nasdaq:OCRX), a clinical stage biopharmaceutical company focused on acute and chronic orphan liver diseases, today announced that Rajiv Patni, M.D. has been appointed as the Company’s Chief Development Offic
August 11, 2014	EX-99.1	Ocera Reports Second Quarter 2014 Financial Results Exhibit 99.1 Ocera Reports Second Quarter 2014 Financial Results PALO ALTO, Calif., August 11, 2014 — Ocera Therapeutics, Inc. (Nasdaq:OCRX), a clinical stage biopharmaceutical company focused on acute and chronic orphan liver diseases, today announced its financial results for the second quarter ended June 30, 2014. Net loss for the period was $7.2 million, compared to a net loss of $2.1 million
August 11, 2014	EX-10.1	Ocera Therapeutics, Inc. Exhibit 10.1 August 5, 2014 Rajiv Patni, MD Dear Rajiv, Ocera Therapeutics, Inc. (the “Company”) is pleased to offer you employment on the following terms: 1. Position. Your title will be Chief Development Officer, reporting to Linda Grais, CEO. This is a full-time position. While you render services to the Company, you will not engage in any other employment, consulting or other business activity
August 11, 2014	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 5, 2014 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number) (I.R
July 10, 2014	EX-99.1	Ocera Therapeutics Raises $25.2 Million in Public Offering Exhibit 99.1 Ocera Therapeutics Raises $25.2 Million in Public Offering PALO ALTO, Calif., July 10, 2014 (GLOBE NEWSWIRE) — Ocera Therapeutics (Nasdaq:OCRX) (“Ocera”) today announced that it has priced an underwritten public offering of 4,200,000 shares of its common stock at an offering price of $6.00 per share. The offering will raise gross proceeds to Ocera of $25.2 million before deducting the
July 10, 2014	EX-1.1	4,200,000 Shares OCERA THERAPEUTICS, INC. Common Stock UNDERWRITING AGREEMENT Exhibit 1.1 4,200,000 Shares OCERA THERAPEUTICS, INC. Common Stock UNDERWRITING AGREEMENT July 10, 2014 STIFEL, NICOLAUS & COMPANY, INCORPORATED COWEN AND COMPANY, LLC As representatives of the several Underwriters named in Schedule I hereto c/o Stifel, Nicolaus & Company, Incorporated 787 7th Avenue, 11th Floor New York, New York 10019 And c/o Cowen and Company, LLC 599 Lexington Avenue, 27th Flo
July 10, 2014	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 10, 2014 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number) (I.R.
July 10, 2014	424B5	4,200,000 Shares Common Stock Use these links to rapidly review the document TABLE OF CONTENTS TABLE OF CONTENTS Filed Pursuant to Rule 424(b)(5) Registration No.
July 9, 2014	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 9, 2014 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number) (I.R.S
July 9, 2014	424B5	Subject to Completion, Dated July 9, 2014 Use these links to rapidly review the document TABLE OF CONTENTS TABLE OF CONTENTS The information in this preliminary prospectus supplement is not complete and may be changed.
July 9, 2014	EX-99.2	The Company Exhibit 99.2 The Company We are a clinical stage biopharmaceutical company focused on the development and commercialization of a clinical candidate, OCR-002, for the treatment of hepatic encephalopathy, or HE. HE is a serious complication of liver failure marked by mental changes including confusion, impaired motor skills, disorientation in time and space, and, in its more severe form, stupor, com
July 9, 2014	EX-99.1	Ocera Therapeutics Announces Proposed Public Offering of Common Stock EX-99.1 2 a14-167673ex99d1.htm EX-99.1 Exhibit 99.1 Ocera Therapeutics Announces Proposed Public Offering of Common Stock Palo Alto, CA – July 9, 2014 – Ocera Therapeutics (Nasdaq: OCRX) (“Ocera” or “the Company”) today announced that it intends to offer and sell, subject to market and other conditions, shares of its common stock in an underwritten public offering. Stifel and Cowen and Company are
June 16, 2014	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Submission of Matters to a Vote of Security Holders - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 11, 2014 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number) (I.R.
June 13, 2014	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 11, 2014 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number) (I.R.
May 30, 2014	8-K/A	Financial Statements and Exhibits - 8-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 18, 2014 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number)
May 30, 2014	EX-2.1	TECHNOLOGY TRANSFER AND LICENSE AGREEMENT BY AND BETWEEN GENENTECH, INC., F. HOFFMANN-LA ROCHE LTD OCERA THERAPEUTICS, INC. Exhibit 2.1 **Text Omitted and Filed Separately with the Securities and Exchange Commission. Confidential Treatment Requested Under 17 C.F.R. Sections 200.80(b)(4) TECHNOLOGY TRANSFER AND LICENSE AGREEMENT BY AND BETWEEN GENENTECH, INC., F. HOFFMANN-LA ROCHE LTD AND OCERA THERAPEUTICS, INC. TABLE OF CONTENTS Page Article 1 Definitions 1 1.1 “Affiliate” 1 1.2 “Bankruptcy Code” 2 1.3 “BMS Agreement”
May 22, 2014	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 16, 2014 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number) (I.R.S
May 14, 2014	SC 13G	OCRX / Ocera Therapeutics, Inc. / QVT Financial LP - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Ocera Therapeutics, Inc. (Name of Issuer) Common Stock, $0.00001 par value per share (Title of Class of Securities) 67552A108 (CUSIP Number) November 5, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to desig
May 13, 2014	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2014 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-35119 Ocera Ther
May 9, 2014	EX-99.1	Ocera Reports First Quarter Financial Results Exhibit 99.1 Ocera Reports First Quarter Financial Results PALO ALTO, Calif., May 8, 2014 — Ocera Therapeutics, Inc. (Nasdaq:OCRX), a biopharmaceutical company focused on innovative therapeutics for orphan liver disease, announced today its financial results for the first quarter ended March 31, 2014. Net loss for the period was $4.1 million, including net loss from continuing operations of $5.2 m
May 9, 2014	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 8, 2014 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number) (I.R.S.
May 9, 2014	EX-99.2	Ocera Therapeutics, Inc. Q1 Earnings Conference Call Thursday, May 8, 2014 5:00 PM Eastern Time Linda Grais, Chief Executive Officer Jeri Hilleman, Chief Financial Officer Franck Rousseau, Chief Medical and Development Officer Exhibit 99.2 Ocera Therapeutics, Inc. Q1 Earnings Conference Call Thursday, May 8, 2014 5:00 PM Eastern Time Linda Grais, Chief Executive Officer Jeri Hilleman, Chief Financial Officer Franck Rousseau, Chief Medical and Development Officer OPERATOR: Welcome to Ocera Therapeutics First Quarter Earnings Conference Call. This call is being webcast live on the events page of the investors section of O
May 2, 2014	EX-99.1	Ocera Therapeutics Announces Appointment of Gaurav Aggarwal, M.D., as Chief Business Officer Exhibit 99.1 Ocera Therapeutics Announces Appointment of Gaurav Aggarwal, M.D., as Chief Business Officer Palo Alto, CA –May 2, 2014 – Ocera Therapeutics (NASDAQ: OCRX) today announced that Gaurav Aggarwal, M.D., has joined the Company as its Chief Business Officer. “We are excited that Gaurav is joining Ocera to help shape our future partnering and other strategic initiatives,” said Linda Grais,
May 2, 2014	EX-10.1	AGREEMENT OF EMPLOYMENT EX-10.1 2 a14-117951ex10d1.htm EX-10.1 Exhibit 10.1 AGREEMENT OF EMPLOYMENT THIS AGREEMENT OF EMPLOYMENT (the “Agreement”) is made as of the 30th day of April, 2014 (the “Effective Date”), by and between Gaurav Aggarwal (hereinafter referred to as the “Executive”), and Ocera Therapeutics, Inc., a corporation organized and existing under the laws of the State of Delaware (hereinafter referred to as
May 2, 2014	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Other Events - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 30, 2014 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number) (I.R
April 29, 2014	DEF 14A	- DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ý Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ý Defin
April 25, 2014	8-K/A	Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 18, 2014 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number)
April 25, 2014	EX-2.1	TECHNOLOGY TRANSFER AND LICENSE AGREEMENT BY AND BETWEEN GENENTECH, INC., F. HOFFMANN-LA ROCHE LTD OCERA THERAPEUTICS, INC. Exhibit 2.1 **Text Omitted and Filed Separately with the Securities and Exchange Commission. Confidential Treatment Requested Under 17 C.F.R. Sections 200.80(b)(4) TECHNOLOGY TRANSFER AND LICENSE AGREEMENT BY AND BETWEEN GENENTECH, INC., F. HOFFMANN-LA ROCHE LTD AND OCERA THERAPEUTICS, INC. TABLE OF CONTENTS Page Article 1 Definitions 2 1.1 “Affiliate” 2 1.2 “Bankruptcy Code” 2 1.3 “BMS Agreement”
March 26, 2014	SC 13D/A	OCRX / Ocera Therapeutics, Inc. / SOFINNOVA VENTURE PARTNERS VI L P - SC 13D/A Activist Investment CUSIP NO. 67552A108 13D Page 1 of 19 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (RULE 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 1)* Ocera Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.00001 per share (Title of Class of Securities) 67552A108 (CUS
March 18, 2014	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2013 TRANSITION REPORT PURSUANT TO SECTION 10-K 1 ocera10-k2013.htm 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31, 2013 OR TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO . Commission file number 001-35
March 13, 2014	EX-99.1	Ocera Reports Fourth Quarter and Year-End 2013 Financial Results Exhibit 99.1 Ocera Reports Fourth Quarter and Year-End 2013 Financial Results PALO ALTO, Calif., March 13, 2014 — Ocera Therapeutics, Inc. (Nasdaq:OCRX), a biopharmaceutical company focused on innovative therapeutics for orphan liver disease, announced today its financial results and other information for the fourth quarter and year ended December 31, 2013. Revenues from continuing operations for
March 13, 2014	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 13, 2014 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number) (I.R
February 24, 2014	EX-2.1	TECHNOLOGY TRANSFER AND LICENSE AGREEMENT BY AND BETWEEN GENENTECH, INC., F. HOFFMANN-LA ROCHE LTD OCERA THERAPEUTICS, INC. EX-2.1 2 a14-65211ex2d1.htm EX-2.1 Exhibit 2.1 **Text Omitted and Filed Separately with the Securities and Exchange Commission. Confidential Treatment Requested Under 17 C.F.R. Sections 200.80(b)(4) TECHNOLOGY TRANSFER AND LICENSE AGREEMENT BY AND BETWEEN GENENTECH, INC., F. HOFFMANN-LA ROCHE LTD AND OCERA THERAPEUTICS, INC. TABLE OF CONTENTS Page Article 1 Definitions 2 1.1 “Affiliate” 2 1.2 “Ban
February 24, 2014	EX-99.1	OCERA THERAPEUTICS, INC. UNAUDITED PRO FORMA CONSOLIDATED FINANCIAL STATEMENTS Table of Contents Exhibit 99.1 OCERA THERAPEUTICS, INC. UNAUDITED PRO FORMA CONSOLIDATED FINANCIAL STATEMENTS Table of Contents Unaudited Pro Forma Consolidated Financial Statements Unaudited Pro Forma Consolidated Balance Sheet as of September 30, 2013 2 Unaudited Pro Forma Consolidated Statement of Operations and Comprehensive Loss for the nine months ended September 30, 2013 3 Notes to Unaudited Pro Forma Consol
February 24, 2014	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets 8-K 1 a14-652118k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 18, 2014 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction
February 14, 2014	SC 13G	OCRX / Ocera Therapeutics, Inc. / VENROCK HEALTHCARE CAPITAL PARTNERS LP - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* OCERA THERAPEUTICS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 67552A108 (CUSIP Number) November 8, 2013 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to whic
February 14, 2014	SC 13G/A	OCRX / Ocera Therapeutics, Inc. / RA Capital Management, LLC - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Ocera Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 67552A108 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th
February 13, 2014	SC 13G/A	OCRX / Ocera Therapeutics, Inc. / PRICE T ROWE ASSOCIATES INC /MD/ - OCRX AS OF 12/31/2013 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* OCERA THERAPEUTICS INC (FKA TRANZYME INC) (Name of Issuer) COMMON STOCK (Title of Class of Securities) 67552A108 (FKA 89413J102) (CUSIP Number) December 31, 2013 (Date of Event which Requires Filing of Statement) Check the appropriate box to designate th
February 12, 2014	SC 13G	OCRX / Ocera Therapeutics, Inc. / Vivo Ventures VI, LLC - SCHEDULE 13G FOR OCERA THERAPEUTICS, INC. OF VIVO VENTURES VI, LLC Passive Investment SC 13G 1 s13g021114-oceratherap.htm SCHEDULE 13G FOR OCERA THERAPEUTICS, INC. OF VIVO VENTURES VI, LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934* (Rule 13d-102) Ocera Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.00001 per share (Title of Class of Securities) 67552A108 (CUSIP Number) November 5, 201
December 26, 2013	S-8	- S-8 S-8 1 a13-271671s8.htm S-8 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 OCERA THERAPEUTICS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation or Organization) 63-1192270 (I.R.S. Employer Identification No.) 525 University Avenue, Suite 610 Palo Alto, CA 943
December 24, 2013	EX-10.1	AGREEMENT OF EMPLOYMENT Exhibit 10.1 AGREEMENT OF EMPLOYMENT THIS AGREEMENT OF EMPLOYMENT (the “Agreement”) is made as of the 19th day of December, 2013 (the “Effective Date”), by and between Linda Grais (hereinafter referred to as the “Executive”), and Ocera Therapeutics, Inc., a corporation organized and existing under the laws of the State of Delaware (hereinafter referred to as the “Company”). WITNESSETH: WHEREAS, th
December 24, 2013	EX-10.2	AGREEMENT OF EMPLOYMENT Exhibit 10.2 AGREEMENT OF EMPLOYMENT THIS AGREEMENT OF EMPLOYMENT (the “Agreement”) is made as of the 19th day of December, 2013 (the “Effective Date”), by and between Jeri Hilleman (hereinafter referred to as the “Executive”), and Ocera Therapeutics, Inc., a corporation organized and existing under the laws of the State of Delaware (hereinafter referred to as the “Company”). WITNESSETH: WHEREAS,
December 24, 2013	EX-10.4	OCERA THERAPEUTICS, INC. SECOND AMENDED AND RESTATED 2011 STOCK OPTION AND INCENTIVE PLAN Exhibit 10.4 OCERA THERAPEUTICS, INC. SECOND AMENDED AND RESTATED 2011 STOCK OPTION AND INCENTIVE PLAN SECTION 1. GENERAL PURPOSE OF THE PLAN; DEFINITIONS The name of the plan is the Ocera Therapeutics, Inc. Second Amended and Restated 2011 Stock Option and Incentive Plan (the “Plan”). The purpose of the Plan is to encourage and enable the officers, employees, Non-Employee Directors and other key
December 24, 2013	EX-99.1	Ocera Therapeutics Announces Election of Wendell Wierenga to Board Exhibit 99.1 Ocera Therapeutics Announces Election of Wendell Wierenga to Board Palo Alto, CA —December 24, 2013 – Ocera Therapeutics (NASDAQ: OCRX) today announced that Wendell Wierenga, Ph.D., has joined its board of directors. “We are excited that Wendell has accepted our offer to join our board, and we will benefit greatly from his leadership as we advance our Phase 2b clinical trials,” said L
December 24, 2013	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 19, 2013 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number) (
December 24, 2013	EX-10.3	AGREEMENT OF EMPLOYMENT Exhibit 10.3 AGREEMENT OF EMPLOYMENT THIS AGREEMENT OF EMPLOYMENT (the “Agreement”) is made as of the 19th day of December, 2013 (the “Effective Date”), by and between Franck S. Rousseau (hereinafter referred to as the “Executive”), and Ocera Therapeutics, Inc., a corporation organized and existing under the laws of the State of Delaware (hereinafter referred to as the “Company”). WITNESSETH: WHER
December 17, 2013	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 13, 2013 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number) (
December 17, 2013	424B3	4,729,064 Shares Common Stock Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents Filed Pursuant to Rule 424(b)(3) Registration Statement No.
December 17, 2013	EX-99.1	Ocera Therapeutics and the Roche Group enter into Technology Transfer and License Agreement License of Ocera’s MATCH™ Discovery Platform Supports Licensee’s Drug Discovery Programs Exhibit 99.1 Ocera Therapeutics and the Roche Group enter into Technology Transfer and License Agreement License of Ocera’s MATCH™ Discovery Platform Supports Licensee’s Drug Discovery Programs Palo Alto, CA — December 17, 2013 — Ocera Therapeutics (NASDAQ: OCRX) today announced that it has entered into a Technology Transfer and License Agreement with the Roche Group, including the Research and Ea
December 11, 2013	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits - 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 5, 2013 OCERA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction (Commission File Number) (I
December 11, 2013	EX-99.1	Ocera Therapeutics Announces Staffing Transition EX-99.1 2 a13-261311ex99d1.htm EX-99.1 Exhibit 99.1 Ocera Therapeutics Announces Staffing Transition Palo Alto, CA —December 11, 2013 — Ocera Therapeutics (NASDAQ: OCRX) today announced that David S. Moore, its chief business officer, will be leaving Ocera to pursue other opportunities. Mr. Moore was a former member of the management team at Tranzyme and continued his employment with Ocera followi
December 6, 2013	S-3	- S-3 Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents As filed with the Securities and Exchange Commission on December 6, 2013 Registration No.
November 15, 2013	DEF 14A	- DEF 14A Use these links to rapidly review the document TABLE OF CONTENTS Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
November 14, 2013	10-Q	SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2013 or o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-35119 Ocera
November 13, 2013	SC 13D/A	OCRX / Ocera Therapeutics, Inc. / InterWest Partners IX, LP - SC 13D/A Activist Investment SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No.
November 13, 2013	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 13, 2013 Ocera Therapeutics, Inc. (Exact name of registrant as specified in its charter) DELAWARE 001-35119 63-1192270 (State or other jurisdiction of incorporation) (Commiss
November 13, 2013	EX-99.1	Ocera Reports Third Quarter Business Update and Financial Results Exhibit 99.1 PRESS RELEASE Ocera Reports Third Quarter Business Update and Financial Results Palo Alto, Calif. - November 13, 2013 - Ocera Therapeutics, Inc. (NASDAQ:OCRX), a biopharmaceutical company focused on innovative therapeutics for orphan liver disease, announced today financial results for the three and nine months ended September 30, 2013. Ocera Business Updates Since the start of the th
November 13, 2013	EX-99.A	JOINT FILING STATEMENT EX A Exhibit A JOINT FILING STATEMENT I, the undersigned, hereby express my agreement that the attached Schedule 13D (and any amendments thereto) relating to the Common Stock of Ocera Therapeutics, Inc.

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