4//SEC Filing
ZOGENIX, INC. 4
Accession 0001181431-10-058036
CIK 0001375151operating
Filed
Nov 28, 7:00 PM ET
Accepted
Nov 29, 9:47 PM ET
Size
14.6 KB
Accession
0001181431-10-058036
Insider Transaction Report
Form 4
ZOGENIX, INC.ZGNX
MINOCHERHOMJEE ARDA PHD
Director10% Owner
Transactions
- Conversion
Common Stock
2010-11-29+1,818,181→ 1,818,181 total(indirect: By Chicago Growth Partners II, L.P.) - Conversion
Common Stock
2010-11-29+594,146→ 2,412,327 total(indirect: By Chicago Growth Partners II, L.P.) - Conversion
Series B Convertible Preferred Stock
2010-11-29−18,181,818→ 0 total(indirect: By Chicago Growth Partners II, L.P.)→ Common Stock (1,818,181 underlying) - Conversion
8% Convertible Promissory Note
2010-11-29−594,146→ 0 total(indirect: By Chicago Growth Partners II, L.P.)→ Common Stock (594,146 underlying) - Purchase
Common Stock
2010-11-29$4.00/sh+550,000$2,200,000→ 2,962,327 total(indirect: By Chicago Growth Partners II, L.P.)
Footnotes (4)
- [F1]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.
- [F2]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 of CGM II LP. CGM II LLC and CGM II LP have shared voting and dispositive power of the shares held by CGP. The Reporting Person is a Managing Director of each of CGM II, LLC and CGM II, LP and as such has a proportionate pecuniary interest in such shares, but does not have sole voting or investment power with respect to such shares and disclaims beneficial ownership of these shares except to the extent of his 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]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 Person is the beneficial owner of equity securities covered by this statement.
Documents
Issuer
ZOGENIX, INC.
CIK 0001375151
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001375151
Filing Metadata
- Form type
- 4
- Filed
- Nov 28, 7:00 PM ET
- Accepted
- Nov 29, 9:47 PM ET
- Size
- 14.6 KB