Home/Filings/4/0001181431-10-058033

4//SEC Filing

TMP Associates II LP 4

Accession 0001181431-10-058033

CIK 0001375151other

View on SEC.gov Company Profile

Filed

Nov 28, 7:00 PM ET

Accepted

Nov 29, 9:43 PM ET

Size

60.7 KB

Accession

0001181431-10-058033

Insider Transaction Report

Form 4

Period: 2010-11-29

ZOGENIX, INC.ZGNX

THOMAS JAMES E

Other

Transactions

Conversion
Common Stock
2010-11-29+2,379→ 52,916 total(indirect: By LLC)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−11,527,800→ 0 total
→ Common Stock (1,152,780 underlying)
Conversion
8% Convertible Promissory Note
2010-11-29−129,855→ 0 total
→ Common Stock (129,855 underlying)
Conversion
Common Stock
2010-11-29+1,152,780→ 1,152,780 total
Purchase
Common Stock
2010-11-29$4.00/sh+173,399$693,596→ 1,663,193 total
Conversion
Common Stock
2010-11-29+4,380→ 4,380 total(indirect: By TMP Associates, L.P.)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−428,400→ 0 total(indirect: By LLC)
→ Common Stock (42,840 underlying)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−43,800→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (4,380 underlying)
Purchase
Common Stock
2010-11-29$4.00/sh+647$2,588→ 6,297 total(indirect: By TMP Associates, L.P.)
Conversion
Series B Convertible Preferred Stock
2010-11-29−2,071,593→ 0 total
→ Common Stock (207,159 underlying)
Conversion
Common Stock
2010-11-29+786→ 5,166 total(indirect: By TMP Associates, L.P.)
Conversion
Common Stock
2010-11-29+484→ 5,650 total(indirect: By TMP Associates, L.P.)
Conversion
Common Stock
2010-11-29+207,159→ 1,359,939 total
Conversion
Series B Convertible Preferred Stock
2010-11-29−76,975→ 0 total(indirect: By LLC)
→ Common Stock (7,697 underlying)
Conversion
8% Convertible Promissory Note
2010-11-29−2,379→ 0 total(indirect: By LLC)
→ Common Stock (2,379 underlying)
Conversion
Common Stock
2010-11-29+42,840→ 42,840 total(indirect: By LLC)
Conversion
Common Stock
2010-11-29+129,855→ 1,489,794 total
Purchase
Common Stock
2010-11-29$4.00/sh+3,178$12,712→ 56,094 total(indirect: By LLC)
Conversion
Series B Convertible Preferred Stock
2010-11-29−7,869→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (786 underlying)
Conversion
8% Convertible Promissory Note
2010-11-29−484→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (484 underlying)
Conversion
Common Stock
2010-11-29+7,697→ 50,537 total(indirect: By LLC)

McNerney Pete

Other

Transactions

Purchase
Common Stock
2010-11-29$4.00/sh+3,178$12,712→ 56,094 total(indirect: By LLC)
Conversion
Series B Convertible Preferred Stock
2010-11-29−2,071,593→ 0 total
→ Common Stock (207,159 underlying)
Conversion
Series B Convertible Preferred Stock
2010-11-29−76,975→ 0 total(indirect: By LLC)
→ Common Stock (7,697 underlying)
Conversion
8% Convertible Promissory Note
2010-11-29−2,379→ 0 total(indirect: By LLC)
→ Common Stock (2,379 underlying)
Conversion
Series B Convertible Preferred Stock
2010-11-29−7,869→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (786 underlying)
Conversion
Common Stock
2010-11-29+786→ 5,166 total(indirect: By TMP Associates, L.P.)
Conversion
8% Convertible Promissory Note
2010-11-29−129,855→ 0 total
→ Common Stock (129,855 underlying)
Conversion
8% Convertible Promissory Note
2010-11-29−484→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (484 underlying)
Conversion
Common Stock
2010-11-29+207,159→ 1,359,939 total
Purchase
Common Stock
2010-11-29$4.00/sh+173,399$693,596→ 1,663,193 total
Conversion
Common Stock
2010-11-29+7,697→ 50,537 total(indirect: By LLC)
Conversion
Common Stock
2010-11-29+4,380→ 4,380 total(indirect: By TMP Associates, L.P.)
Conversion
Common Stock
2010-11-29+484→ 5,650 total(indirect: By TMP Associates, L.P.)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−11,527,800→ 0 total
→ Common Stock (1,152,780 underlying)
Conversion
Common Stock
2010-11-29+1,152,780→ 1,152,780 total
Conversion
Common Stock
2010-11-29+129,855→ 1,489,794 total
Conversion
Common Stock
2010-11-29+42,840→ 42,840 total(indirect: By LLC)
Conversion
Common Stock
2010-11-29+2,379→ 52,916 total(indirect: By LLC)
Purchase
Common Stock
2010-11-29$4.00/sh+647$2,588→ 6,297 total(indirect: By TMP Associates, L.P.)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−428,400→ 0 total(indirect: By LLC)
→ Common Stock (42,840 underlying)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−43,800→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (4,380 underlying)

TMP Nominee II, LLC

Other

Transactions

Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−43,800→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (4,380 underlying)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−11,527,800→ 0 total
→ Common Stock (1,152,780 underlying)
Conversion
Common Stock
2010-11-29+207,159→ 1,359,939 total
Conversion
Common Stock
2010-11-29+129,855→ 1,489,794 total
Purchase
Common Stock
2010-11-29$4.00/sh+173,399$693,596→ 1,663,193 total
Conversion
Common Stock
2010-11-29+7,697→ 50,537 total(indirect: By LLC)
Conversion
Common Stock
2010-11-29+2,379→ 52,916 total(indirect: By LLC)
Conversion
Common Stock
2010-11-29+786→ 5,166 total(indirect: By TMP Associates, L.P.)
Conversion
Common Stock
2010-11-29+484→ 5,650 total(indirect: By TMP Associates, L.P.)
Conversion
Common Stock
2010-11-29+1,152,780→ 1,152,780 total
Conversion
Common Stock
2010-11-29+42,840→ 42,840 total(indirect: By LLC)
Conversion
Common Stock
2010-11-29+4,380→ 4,380 total(indirect: By TMP Associates, L.P.)
Purchase
Common Stock
2010-11-29$4.00/sh+647$2,588→ 6,297 total(indirect: By TMP Associates, L.P.)
Conversion
Series B Convertible Preferred Stock
2010-11-29−7,869→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (786 underlying)
Conversion
8% Convertible Promissory Note
2010-11-29−129,855→ 0 total
→ Common Stock (129,855 underlying)
Purchase
Common Stock
2010-11-29$4.00/sh+3,178$12,712→ 56,094 total(indirect: By LLC)
Conversion
Series B Convertible Preferred Stock
2010-11-29−2,071,593→ 0 total
→ Common Stock (207,159 underlying)
Conversion
Series B Convertible Preferred Stock
2010-11-29−76,975→ 0 total(indirect: By LLC)
→ Common Stock (7,697 underlying)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−428,400→ 0 total(indirect: By LLC)
→ Common Stock (42,840 underlying)
Conversion
8% Convertible Promissory Note
2010-11-29−2,379→ 0 total(indirect: By LLC)
→ Common Stock (2,379 underlying)
Conversion
8% Convertible Promissory Note
2010-11-29−484→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (484 underlying)

TMP Associates II LP

Other

Transactions

Conversion
8% Convertible Promissory Note
2010-11-29−484→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (484 underlying)
Conversion
Common Stock
2010-11-29+129,855→ 1,489,794 total
Conversion
Common Stock
2010-11-29+484→ 5,650 total(indirect: By TMP Associates, L.P.)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−11,527,800→ 0 total
→ Common Stock (1,152,780 underlying)
Conversion
8% Convertible Promissory Note
2010-11-29−129,855→ 0 total
→ Common Stock (129,855 underlying)
Purchase
Common Stock
2010-11-29$4.00/sh+173,399$693,596→ 1,663,193 total
Conversion
8% Convertible Promissory Note
2010-11-29−2,379→ 0 total(indirect: By LLC)
→ Common Stock (2,379 underlying)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−43,800→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (4,380 underlying)
Conversion
Common Stock
2010-11-29+207,159→ 1,359,939 total
Conversion
Common Stock
2010-11-29+7,697→ 50,537 total(indirect: By LLC)
Conversion
Common Stock
2010-11-29+2,379→ 52,916 total(indirect: By LLC)
Conversion
Common Stock
2010-11-29+4,380→ 4,380 total(indirect: By TMP Associates, L.P.)
Conversion
Series B Convertible Preferred Stock
2010-11-29−2,071,593→ 0 total
→ Common Stock (207,159 underlying)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−428,400→ 0 total(indirect: By LLC)
→ Common Stock (42,840 underlying)
Conversion
Common Stock
2010-11-29+1,152,780→ 1,152,780 total
Conversion
Common Stock
2010-11-29+42,840→ 42,840 total(indirect: By LLC)
Purchase
Common Stock
2010-11-29$4.00/sh+3,178$12,712→ 56,094 total(indirect: By LLC)
Conversion
Common Stock
2010-11-29+786→ 5,166 total(indirect: By TMP Associates, L.P.)
Purchase
Common Stock
2010-11-29$4.00/sh+647$2,588→ 6,297 total(indirect: By TMP Associates, L.P.)
Conversion
Series B Convertible Preferred Stock
2010-11-29−76,975→ 0 total(indirect: By LLC)
→ Common Stock (7,697 underlying)
Conversion
Series B Convertible Preferred Stock
2010-11-29−7,869→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (786 underlying)

TMP Nominee, LLC

Other

Transactions

Conversion
Series B Convertible Preferred Stock
2010-11-29−7,869→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (786 underlying)
Conversion
8% Convertible Promissory Note
2010-11-29−484→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (484 underlying)
Conversion
Common Stock
2010-11-29+4,380→ 4,380 total(indirect: By TMP Associates, L.P.)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−11,527,800→ 0 total
→ Common Stock (1,152,780 underlying)
Conversion
Common Stock
2010-11-29+1,152,780→ 1,152,780 total
Conversion
Common Stock
2010-11-29+7,697→ 50,537 total(indirect: By LLC)
Purchase
Common Stock
2010-11-29$4.00/sh+3,178$12,712→ 56,094 total(indirect: By LLC)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−428,400→ 0 total(indirect: By LLC)
→ Common Stock (42,840 underlying)
Conversion
Series B Convertible Preferred Stock
2010-11-29−76,975→ 0 total(indirect: By LLC)
→ Common Stock (7,697 underlying)
Conversion
Common Stock
2010-11-29+484→ 5,650 total(indirect: By TMP Associates, L.P.)
Conversion
8% Convertible Promissory Note
2010-11-29−129,855→ 0 total
→ Common Stock (129,855 underlying)
Purchase
Common Stock
2010-11-29$4.00/sh+647$2,588→ 6,297 total(indirect: By TMP Associates, L.P.)
Conversion
Series B Convertible Preferred Stock
2010-11-29−2,071,593→ 0 total
→ Common Stock (207,159 underlying)
Conversion
8% Convertible Promissory Note
2010-11-29−2,379→ 0 total(indirect: By LLC)
→ Common Stock (2,379 underlying)
Conversion
Common Stock
2010-11-29+207,159→ 1,359,939 total
Conversion
Common Stock
2010-11-29+129,855→ 1,489,794 total
Purchase
Common Stock
2010-11-29$4.00/sh+173,399$693,596→ 1,663,193 total
Conversion
Common Stock
2010-11-29+42,840→ 42,840 total(indirect: By LLC)
Conversion
Common Stock
2010-11-29+2,379→ 52,916 total(indirect: By LLC)
Conversion
Common Stock
2010-11-29+786→ 5,166 total(indirect: By TMP Associates, L.P.)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−43,800→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (4,380 underlying)

Thomas, McNerney & Partners II L.P.

Other

Transactions

Conversion
Common Stock
2010-11-29+7,697→ 50,537 total(indirect: By LLC)
Conversion
8% Convertible Promissory Note
2010-11-29−129,855→ 0 total
→ Common Stock (129,855 underlying)
Conversion
8% Convertible Promissory Note
2010-11-29−2,379→ 0 total(indirect: By LLC)
→ Common Stock (2,379 underlying)
Conversion
Series B Convertible Preferred Stock
2010-11-29−7,869→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (786 underlying)
Conversion
8% Convertible Promissory Note
2010-11-29−484→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (484 underlying)
Conversion
Common Stock
2010-11-29+4,380→ 4,380 total(indirect: By TMP Associates, L.P.)
Conversion
Common Stock
2010-11-29+129,855→ 1,489,794 total
Conversion
Common Stock
2010-11-29+484→ 5,650 total(indirect: By TMP Associates, L.P.)
Conversion
Common Stock
2010-11-29+1,152,780→ 1,152,780 total
Conversion
Common Stock
2010-11-29+786→ 5,166 total(indirect: By TMP Associates, L.P.)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−11,527,800→ 0 total
→ Common Stock (1,152,780 underlying)
Conversion
Series B Convertible Preferred Stock
2010-11-29−2,071,593→ 0 total
→ Common Stock (207,159 underlying)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−428,400→ 0 total(indirect: By LLC)
→ Common Stock (42,840 underlying)
Conversion
Series B Convertible Preferred Stock
2010-11-29−76,975→ 0 total(indirect: By LLC)
→ Common Stock (7,697 underlying)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−43,800→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (4,380 underlying)
Conversion
Common Stock
2010-11-29+207,159→ 1,359,939 total
Purchase
Common Stock
2010-11-29$4.00/sh+173,399$693,596→ 1,663,193 total
Conversion
Common Stock
2010-11-29+42,840→ 42,840 total(indirect: By LLC)
Conversion
Common Stock
2010-11-29+2,379→ 52,916 total(indirect: By LLC)
Purchase
Common Stock
2010-11-29$4.00/sh+3,178$12,712→ 56,094 total(indirect: By LLC)
Purchase
Common Stock
2010-11-29$4.00/sh+647$2,588→ 6,297 total(indirect: By TMP Associates, L.P.)

Thomas, McNerney & Partners II, LLC

Other

Transactions

Conversion
Common Stock
2010-11-29+129,855→ 1,489,794 total
Purchase
Common Stock
2010-11-29$4.00/sh+173,399$693,596→ 1,663,193 total
Conversion
Common Stock
2010-11-29+786→ 5,166 total(indirect: By TMP Associates, L.P.)
Conversion
Common Stock
2010-11-29+484→ 5,650 total(indirect: By TMP Associates, L.P.)
Conversion
Series B Convertible Preferred Stock
2010-11-29−2,071,593→ 0 total
→ Common Stock (207,159 underlying)
Conversion
8% Convertible Promissory Note
2010-11-29−129,855→ 0 total
→ Common Stock (129,855 underlying)
Conversion
Series B Convertible Preferred Stock
2010-11-29−76,975→ 0 total(indirect: By LLC)
→ Common Stock (7,697 underlying)
Conversion
Series B Convertible Preferred Stock
2010-11-29−7,869→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (786 underlying)
Conversion
8% Convertible Promissory Note
2010-11-29−484→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (484 underlying)
Conversion
Common Stock
2010-11-29+2,379→ 52,916 total(indirect: By LLC)
Conversion
Common Stock
2010-11-29+1,152,780→ 1,152,780 total
Conversion
Common Stock
2010-11-29+207,159→ 1,359,939 total
Conversion
Common Stock
2010-11-29+42,840→ 42,840 total(indirect: By LLC)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−11,527,800→ 0 total
→ Common Stock (1,152,780 underlying)
Conversion
8% Convertible Promissory Note
2010-11-29−2,379→ 0 total(indirect: By LLC)
→ Common Stock (2,379 underlying)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−43,800→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (4,380 underlying)
Conversion
Common Stock
2010-11-29+4,380→ 4,380 total(indirect: By TMP Associates, L.P.)
Purchase
Common Stock
2010-11-29$4.00/sh+647$2,588→ 6,297 total(indirect: By TMP Associates, L.P.)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−428,400→ 0 total(indirect: By LLC)
→ Common Stock (42,840 underlying)
Conversion
Common Stock
2010-11-29+7,697→ 50,537 total(indirect: By LLC)
Purchase
Common Stock
2010-11-29$4.00/sh+3,178$12,712→ 56,094 total(indirect: By LLC)

THOMAS MCNERNEY & PARTNERS LP

Other

Transactions

Conversion
Common Stock
2010-11-29+42,840→ 42,840 total(indirect: By LLC)
Purchase
Common Stock
2010-11-29$4.00/sh+3,178$12,712→ 56,094 total(indirect: By LLC)
Conversion
8% Convertible Promissory Note
2010-11-29−2,379→ 0 total(indirect: By LLC)
→ Common Stock (2,379 underlying)
Conversion
Common Stock
2010-11-29+1,152,780→ 1,152,780 total
Conversion
Common Stock
2010-11-29+129,855→ 1,489,794 total
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−43,800→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (4,380 underlying)
Purchase
Common Stock
2010-11-29$4.00/sh+173,399$693,596→ 1,663,193 total
Conversion
Common Stock
2010-11-29+7,697→ 50,537 total(indirect: By LLC)
Conversion
Common Stock
2010-11-29+2,379→ 52,916 total(indirect: By LLC)
Conversion
Common Stock
2010-11-29+786→ 5,166 total(indirect: By TMP Associates, L.P.)
Purchase
Common Stock
2010-11-29$4.00/sh+647$2,588→ 6,297 total(indirect: By TMP Associates, L.P.)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−11,527,800→ 0 total
→ Common Stock (1,152,780 underlying)
Conversion
Series B Convertible Preferred Stock
2010-11-29−2,071,593→ 0 total
→ Common Stock (207,159 underlying)
Conversion
8% Convertible Promissory Note
2010-11-29−129,855→ 0 total
→ Common Stock (129,855 underlying)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−428,400→ 0 total(indirect: By LLC)
→ Common Stock (42,840 underlying)
Conversion
8% Convertible Promissory Note
2010-11-29−484→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (484 underlying)
Conversion
Common Stock
2010-11-29+207,159→ 1,359,939 total
Conversion
Common Stock
2010-11-29+4,380→ 4,380 total(indirect: By TMP Associates, L.P.)
Conversion
Common Stock
2010-11-29+484→ 5,650 total(indirect: By TMP Associates, L.P.)
Conversion
Series B Convertible Preferred Stock
2010-11-29−76,975→ 0 total(indirect: By LLC)
→ Common Stock (7,697 underlying)
Conversion
Series B Convertible Preferred Stock
2010-11-29−7,869→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (786 underlying)

TMP ASSOCIATES LP

Other

Transactions

Conversion
Common Stock
2010-11-29+484→ 5,650 total(indirect: By TMP Associates, L.P.)
Conversion
Common Stock
2010-11-29+207,159→ 1,359,939 total
Conversion
Common Stock
2010-11-29+2,379→ 52,916 total(indirect: By LLC)
Conversion
Common Stock
2010-11-29+129,855→ 1,489,794 total
Purchase
Common Stock
2010-11-29$4.00/sh+173,399$693,596→ 1,663,193 total
Conversion
Common Stock
2010-11-29+7,697→ 50,537 total(indirect: By LLC)
Purchase
Common Stock
2010-11-29$4.00/sh+647$2,588→ 6,297 total(indirect: By TMP Associates, L.P.)
Conversion
Series B Convertible Preferred Stock
2010-11-29−7,869→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (786 underlying)
Conversion
Common Stock
2010-11-29+42,840→ 42,840 total(indirect: By LLC)
Conversion
Common Stock
2010-11-29+4,380→ 4,380 total(indirect: By TMP Associates, L.P.)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−11,527,800→ 0 total
→ Common Stock (1,152,780 underlying)
Conversion
Series B Convertible Preferred Stock
2010-11-29−76,975→ 0 total(indirect: By LLC)
→ Common Stock (7,697 underlying)
Conversion
8% Convertible Promissory Note
2010-11-29−2,379→ 0 total(indirect: By LLC)
→ Common Stock (2,379 underlying)
Conversion
Common Stock
2010-11-29+1,152,780→ 1,152,780 total
Purchase
Common Stock
2010-11-29$4.00/sh+3,178$12,712→ 56,094 total(indirect: By LLC)
Conversion
Common Stock
2010-11-29+786→ 5,166 total(indirect: By TMP Associates, L.P.)
Conversion
Series B Convertible Preferred Stock
2010-11-29−2,071,593→ 0 total
→ Common Stock (207,159 underlying)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−428,400→ 0 total(indirect: By LLC)
→ Common Stock (42,840 underlying)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−43,800→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (4,380 underlying)
Conversion
8% Convertible Promissory Note
2010-11-29−129,855→ 0 total
→ Common Stock (129,855 underlying)
Conversion
8% Convertible Promissory Note
2010-11-29−484→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (484 underlying)

Thomas, McNerney & Partners, LLC

Other

Transactions

Purchase
Common Stock
2010-11-29$4.00/sh+3,178$12,712→ 56,094 total(indirect: By LLC)
Purchase
Common Stock
2010-11-29$4.00/sh+173,399$693,596→ 1,663,193 total
Conversion
Common Stock
2010-11-29+786→ 5,166 total(indirect: By TMP Associates, L.P.)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−11,527,800→ 0 total
→ Common Stock (1,152,780 underlying)
Conversion
Series B Convertible Preferred Stock
2010-11-29−2,071,593→ 0 total
→ Common Stock (207,159 underlying)
Conversion
8% Convertible Promissory Note
2010-11-29−129,855→ 0 total
→ Common Stock (129,855 underlying)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−428,400→ 0 total(indirect: By LLC)
→ Common Stock (42,840 underlying)
Conversion
Series B Convertible Preferred Stock
2010-11-29−76,975→ 0 total(indirect: By LLC)
→ Common Stock (7,697 underlying)
Conversion
8% Convertible Promissory Note
2010-11-29−2,379→ 0 total(indirect: By LLC)
→ Common Stock (2,379 underlying)
Conversion
Series A-1 Convertible Preferred Stock
2010-11-29−43,800→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (4,380 underlying)
Conversion
Series B Convertible Preferred Stock
2010-11-29−7,869→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (786 underlying)
Conversion
8% Convertible Promissory Note
2010-11-29−484→ 0 total(indirect: By TMP Associates, L.P.)
→ Common Stock (484 underlying)
Conversion
Common Stock
2010-11-29+1,152,780→ 1,152,780 total
Conversion
Common Stock
2010-11-29+207,159→ 1,359,939 total
Conversion
Common Stock
2010-11-29+7,697→ 50,537 total(indirect: By LLC)
Conversion
Common Stock
2010-11-29+129,855→ 1,489,794 total
Conversion
Common Stock
2010-11-29+42,840→ 42,840 total(indirect: By LLC)
Conversion
Common Stock
2010-11-29+2,379→ 52,916 total(indirect: By LLC)
Conversion
Common Stock
2010-11-29+4,380→ 4,380 total(indirect: By TMP Associates, L.P.)
Conversion
Common Stock
2010-11-29+484→ 5,650 total(indirect: By TMP Associates, L.P.)
Purchase
Common Stock
2010-11-29$4.00/sh+647$2,588→ 6,297 total(indirect: By TMP Associates, L.P.)

Footnotes (7)

[F1]Each of the Series A-1 Convertible Preferred Stock and the Series B Convertible Preferred Stock automatically converted to Common Stock at the closing of the Issuer's initial public offering on November 29, 2010 at a conversion ratio one share of Common Stock for every ten shares of Series A-1 Convertible Preferred Stock and one share of Common Stock for every ten shares of Series B Convertible Preferred Stock, as applicable, rounded down to the next whole number, for no additional consideration.
[F10]Upon the closing of the Issuer's initial public offering on November 29, 2010, the Reporting Persons ceased to be 10% owners of the Issuer's securities.
[F2]These securities are owned of record by Thomas, McNerney & Partners, L.P. ("TMP LP"). Thomas, McNerney & Partners, LLC ("TMP LLC") is the general partner of TMP LP and has shared voting and dispositive power of the securities held by TMP LP, but TMP LLC disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. The managers of TMP LLC having shared voting and dispositive power over these securities are James E. Thomas and Peter H. McNerney, each of whom disclaims beneficial ownership of such shares except to the extent of their pecuniary interest therein.
[F3]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.
[F4]These securities are owned of record by TMP Nominee, LLC ("TMP Nominee"). The managers of TMP Nominee having shared voting and dispositive power over these securities are James E. Thomas and Peter H. McNerney, each of whom disclaims beneficial ownership of such shares except to the extent of their pecuniary interest therein.
[F5]These securities are owned of record by TMP Associates, L.P. ("TMP Associates"). TMP LLC is the general partner of TMP Associates and has shared voting and dispositive power of the securities held by TMP Associates, but TMP LLC disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. The managers of TMP LLC having shared voting and dispositive power over these securities are James E. Thomas and Peter H. McNerney, each of whom disclaims beneficial ownership of such shares except to the extent of their pecuniary interest therein.
[F9]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.

Documents

1 file

4
rrd292250.xmlPrimary
FORM 4

Issuer

ZOGENIX, INC.

CIK 0001375151

→

Entity typeother

IncorporatedDE

Related Parties

filerCIK 0001383035

Filing Metadata

Form type: 4
Filed: Nov 28, 7:00 PM ET
Accepted: Nov 29, 9:43 PM ET
Size: 60.7 KB

View on SEC.gov