4//SEC Filing
Haas Ken 4
Accession 0001181431-10-058228
CIK 0001375151other
Filed
Nov 29, 7:00 PM ET
Accepted
Nov 30, 7:31 PM ET
Size
32.4 KB
Accession
0001181431-10-058228
Insider Transaction Report
Form 4
ZOGENIX, INC.ZGNX
Haas Ken
Director
Transactions
- Conversion
Common Stock
2010-11-29+382,613→ 1,819,619 total(indirect: By Abingworth Bioventures IV LP) - Conversion
Common Stock
2010-11-29+3,280→ 15,599 total(indirect: By Abingworth Bioventures IV Executives L.P.) - Purchase
Common Stock
2010-11-29$4.00/sh+4,250$17,000→ 19,849 total(indirect: By Abingworth Bioventures IV Executives L.P.) - Conversion
Series A-2 Convertible Preferred Stock
2010-11-29−77,278→ 0 total(indirect: By Abingworth Bioventures IV Executives LP)→ Common Stock (7,727 underlying) - Conversion
Series A-2 Convertible Preferred Stock
2010-11-29−9,013,631→ 0 total(indirect: By Abingworth Bioventures IV LP)→ Common Stock (901,363 underlying) - Conversion
Common Stock
2010-11-29+535,643→ 1,437,006 total(indirect: By Abingworth Bioventures IV LP) - Conversion
8% Convertible Promissory Note
2010-11-29−382,613→ 0 total(indirect: By Abingworth Bioventures IV LP)→ Common Stock (382,613 underlying) - Conversion
8% Convertible Promissory Note
2010-11-29−3,280→ 0 total(indirect: By Abingworth Bioventures IV Executives LP)→ Common Stock (3,280 underlying) - Conversion
Common Stock
2010-11-29+7,727→ 7,727 total(indirect: By Abingworth Bioventures IV Executives L.P.) - Conversion
Series B Convertible Preferred Stock
2010-11-29−45,930→ 0 total(indirect: By Abingworth Bioventures IV Executives LP)→ Common Stock (4,592 underlying) - Conversion
Common Stock
2010-11-29+901,363→ 901,363 total(indirect: By Abingworth Bioventures IV LP) - Purchase
Common Stock
2010-11-29$4.00/sh+495,750$1,983,000→ 2,315,369 total(indirect: By Abingworth Bioventures IV LP) - Conversion
Common Stock
2010-11-29+4,592→ 12,319 total(indirect: By Abingworth Bioventures IV Executives L.P.) - Conversion
Series B Convertible Preferred Stock
2010-11-29−5,356,437→ 0 total(indirect: By Abingworth Bioventures IV LP)→ Common Stock (535,643 underlying)
Footnotes (6)
- [F1]Each of the Series A-2 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-2 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.
- [F2]These securities are owned of record by Abingworth Bioventures IV LP ("AB IV").
- [F3]These securities are owned of record by Abingworth Bioventures IV Executives L.P. ("AB IV Executives")
- [F4]Abingworth Management Ltd. ("AM Ltd.") serves as investment manager of each of AB IV and AB IV Executives and may be deemed to share voting and dispositive power with respect to the securities owned by AB IV and AB IV Executives. The Reporting Person is a venture partner of Abingworth Management, Inc., and in such capacity may be deemed to beneficially own the securities owned of record by AB IV and AB IV Executives, but disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
- [F5]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.
- [F6]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 typeother
Related Parties
1- filerCIK 0001505836
Filing Metadata
- Form type
- 4
- Filed
- Nov 29, 7:00 PM ET
- Accepted
- Nov 30, 7:31 PM ET
- Size
- 32.4 KB