Filing Details
- Accession Number:
- 0001181431-10-058035
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-11-29 21:45:28
- Reporting Period:
- 2010-11-29
- Filing Date:
- 2010-11-29
- Accepted Time:
- 2010-11-29 21:45:28
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1375151 | Zogenix Inc. | ZGNX | Pharmaceutical Preparations (2834) | 205300780 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1413564 | P L Ii Partners Growth Chicago | 303 W. Madison Avenue, Suite 2500 Chicago IL 60606 | No | No | No | Yes | |
1505481 | Chicago Growth Management Ii, Lp | 303 W. Madison Avenue, Suite 2500 Chicago IL 60606 | No | No | No | Yes | |
1505484 | Chicago Growth Management Ii, Llc | 303 W. Madison Avenue, Suite 2500 Chicago IL 60606 | No | No | No | Yes |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2010-11-29 | 1,818,181 | $0.00 | 1,818,181 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2010-11-29 | 594,146 | $0.00 | 2,412,327 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2010-11-29 | 550,000 | $4.00 | 2,962,327 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | C | Direct | |
No | 4 | C | Direct | |
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series B Convertible Preferred Stock | Disposition | 2010-11-29 | 18,181,818 | $0.00 | 1,818,181 | $0.00 |
Common Stock | 8% Convertible Promissory Note | Disposition | 2010-11-29 | 594,146 | $0.00 | 594,146 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | No | 4 | C | Direct | ||
0 | No | 4 | C | Direct |
Footnotes
- The Series B Convertible Preferred Stock automatically converted to Common Stock at the closing of the Issuer's initial public offering on Novenber 29, 2010 at a conversion ratio of one share of Common Stock for every ten shares of Series B Convertible Preferred Stock, rounded down to the next whole number, for no additional consideration.
- These securities are held of record by Chicago Growth Partners II, L.P. ("CGP"). Chicago Growth Management II, LP ("CGM II LP") is the general partner of CGP, and Chicago Growth Management II, LLC ("CGM II LLC") is the general partner CGM II LP. CGM II LLC and CGM II LP have shared voting and dispositive power of the shares held by CGP, but each disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein.
- The principle of the Note and accrued interest thereon was automatically converted upon the closing of the Issuer's initial public offering on November 29, 2010 into shares of Common Stock at a conversion price equal to $4.00 per share, the per share price of the Common Stock sold in the Issuer's initial public offering.
- The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of equity securities covered by this statement.