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

(a)

o

Broker
or dealer registered under section 15 of the Act (15 U.S.C. 78o).

(b)

o

Bank as defined
in section 3(a)(6) of the Act (15 U.S.C. 78c).

(c)

o

Insurance company
as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

(d)

o

Investment company
registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

(e)

o

An investment
adviser in accordance with §240.13d-1(b)(1)(ii)(E);

(f)

o

An employee benefit
plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

(g)

o

A parent holding
company or control person in accordance with §240.13d-1(b)(1)(ii)(G);

(h)

o

A savings associations
as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

(i)

o

A church plan
that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940
(15 U.S.C. 80a-3);

(j)

o

Group, in accordance
with §240.13d-1(b)(1)(ii)(J).

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

Published on March 30, 2017 at 2:29 pm by Insider Monkey Staff in Hedge Funds

Page 7 of 9 – SEC Filing

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Item 3.	If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:


	(a)		Amount beneficially owned: Rosalind Master Fund L.P. is the record owner of 220,761 shares, and warrants to acquire 364,000 shares of common stock. Rosalind Capital Partners L.P. is the record owner of 562,339 shares, and warrants to acquire 936,000 shares of common stock Rosalind Advisors, Inc. is the investment advisor to RCP and RMF and may be deemed to be the beneficial owner of shares held by RCP and RMF. Steven Salamon is the portfolio manager of the Advisor and may be deemed to be the beneficial owner of shares held by RCP and RMF. Notwithstanding the foregoing, the Advisor and Mr. Salamon disclaim beneficial ownership of the shares.

	(b)		Percent of class: Rosalind Advisors, Inc. – 5.5% Rosalind Master Fund L.P. – 1.6% Rosalind Capital Partners L.P. – 4.0% Steven Salamon – 5.5%


CUSIP No. 98979H103	13 G/A	Page 7 of 9 Pages

Item 4.	Ownership.