Filing Details
- Accession Number:
- 0001181431-15-001721
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-02-02 13:33:26
- Reporting Period:
- 2015-01-30
- Filing Date:
- 2015-02-02
- Accepted Time:
- 2015-02-02 13:33:26
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1587221 | Zosano Pharma Corp | ZSAN | Pharmaceutical Preparations (2834) | 454488360 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1219855 | James M Barrett | 1954 Greenspring Drive Suite 600 Timonium MD 21093 | Yes | No | Yes | No |
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 | 2015-01-30 | 341,201 | $9.35 | 2,135,082 | No | 4 | C | Indirect | See Note 2 |
| Common Stock | Acquisiton | 2015-01-30 | 23,457 | $11.00 | 2,158,539 | No | 4 | P | Indirect | See Note 2 |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | See Note 2 |
| No | 4 | P | Indirect | See Note 2 |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | 8% Convertible Note Issued 9/9/2013 | Disposition | 2015-01-30 | 0 | $0.00 | 0 | $0.00 |
| Common Stock | 8% Convertible Note Issued 2/26/2014 | Disposition | 2015-01-30 | 0 | $0.00 | 0 | $0.00 |
| Common Stock | 8% Convertible Note Issued 12/2/2014 | Disposition | 2015-01-30 | 0 | $0.00 | 0 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2015-03-31 | No | 4 | C | Indirect | |
| 0 | 2015-03-31 | No | 4 | C | Indirect | |
| 0 | 2015-03-31 | No | 4 | C | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 5 | Direct |
Footnotes
- The outstanding principal and accrued interest on these Convertible Notes were automatically converted into shares of the Issuer's Common Stock upon the closing of the Issuer's initial public offering at 85% of the Issuer's initial public offering price per share.
- The securities are directly held by New Enterprise Associates 12, Limited Partnership ("NEA 12") and indirectly held by NEA Partners 12, Limited Partnership ("NEA Partners 12"), the sole general partner of NEA 12, NEA 12 GP, LLC ("NEA 12 GP"), the sole general partner of NEA Partners 12, and the individual managers of NEA 12 GP (NEA Partners 12, NEA 12 GP and the individual managers of NEA 12 GP together, the "NEA 12 Indirect Reporting Persons"). The individual managers of NEA 12 GP are M. James Barrett, Peter J. Barris, Forest Baskett, Ryan D. Drant, Patrick J. Kerins, Krishna "Kittu" Kolluri, and Scott D. Sandell. The NEA 12 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 12 shares in which the NEA 12 Indirect Reporting Persons have no pecuniary interest.
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