13G Filing: Rosalind Advisors, Inc. and Zosano Pharma Corp (NASDAQ:ZSAN)

Page 2 of 9 – SEC Filing

CUSIP
No. 98979H103

13
G/A

Page
2 of 9 Pages

               
1.   NAMES
OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

Rosalind Advisors, Inc.
   
2.   CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a)    o
(b)    o
   
3.   SEC
USE ONLY
 
   
4.   CITIZENSHIP
OR PLACE OF ORGANIZATION
 
ONTARIO, CANADA
   

NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY
EACH
REPORTING
PERSON
WITH

     
5.   SOLE
VOTING POWER
 
0
6.   SHARED
VOTING POWER
 
2,083,100
7.   SOLE
DISPOSITIVE POWER
 
0
8.   SHARED
DISPOSITIVE POWER
 
2,083,100
         
9.   AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,083,100
   
10.   CHECK
IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(see instructions)    ¨
   
11.   PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9)



5.5%1
   
12.   TYPE
OF REPORTING PERSON (see instructions)

CO
   

1 This percentage is calculated based upon 36,365,997 shares of the Issuer’s common stock outstanding
as of March 22, 2017.

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