Home/Filings/4/0001181431-15-001720

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Zosano Pharma Corp 4

Accession 0001181431-15-001720

CIK 0001587221operating

View on SEC.gov Company Profile

Filed

Feb 1, 7:00 PM ET

Accepted

Feb 2, 1:32 PM ET

Size

22.9 KB

Accession

0001181431-15-001720

Insider Transaction Report

Form 4

Period: 2015-01-30

Zosano Pharma CorpZSAN

New Enterprise Associates 12, Limited Partnership

10% Owner

Transactions

Conversion
Common Stock
2015-01-30$9.35/sh+341,201$3,190,229→ 2,135,082 total
Conversion
8% Convertible Note Issued 12/2/2014
2015-01-30
Exp: 2015-03-31→ Common Stock
Conversion
8% Convertible Note Issued 9/9/2013
2015-01-30
Exp: 2015-03-31→ Common Stock
Conversion
8% Convertible Note Issued 2/26/14
2015-01-30
Exp: 2015-03-31→ Common Stock
Purchase
Common Stock
2015-01-30$11.00/sh+23,457$258,027→ 2,158,539 total

NEA Partners 12, Limited Partnership

10% Owner

Transactions

Conversion
Common Stock
2015-01-30$9.35/sh+341,201$3,190,229→ 2,135,082 total
Conversion
8% Convertible Note Issued 9/9/2013
2015-01-30
Exp: 2015-03-31→ Common Stock
Conversion
8% Convertible Note Issued 2/26/14
2015-01-30
Exp: 2015-03-31→ Common Stock
Conversion
8% Convertible Note Issued 12/2/2014
2015-01-30
Exp: 2015-03-31→ Common Stock
Purchase
Common Stock
2015-01-30$11.00/sh+23,457$258,027→ 2,158,539 total

NEA 12 GP, LLC

10% Owner

Transactions

Conversion
Common Stock
2015-01-30$9.35/sh+341,201$3,190,229→ 2,135,082 total
Conversion
8% Convertible Note Issued 9/9/2013
2015-01-30
Exp: 2015-03-31→ Common Stock
Purchase
Common Stock
2015-01-30$11.00/sh+23,457$258,027→ 2,158,539 total
Conversion
8% Convertible Note Issued 2/26/14
2015-01-30
Exp: 2015-03-31→ Common Stock
Conversion
8% Convertible Note Issued 12/2/2014
2015-01-30
Exp: 2015-03-31→ Common Stock

BARRIS PETER J

10% Owner

Transactions

Conversion
Common Stock
2015-01-30$9.35/sh+341,201$3,190,229→ 2,135,082 total
Conversion
8% Convertible Note Issued 9/9/2013
2015-01-30
Exp: 2015-03-31→ Common Stock
Purchase
Common Stock
2015-01-30$11.00/sh+23,457$258,027→ 2,158,539 total
Conversion
8% Convertible Note Issued 2/26/14
2015-01-30
Exp: 2015-03-31→ Common Stock
Conversion
8% Convertible Note Issued 12/2/2014
2015-01-30
Exp: 2015-03-31→ Common Stock

DRANT RYAN D

10% Owner

Transactions

Conversion
Common Stock
2015-01-30$9.35/sh+341,201$3,190,229→ 2,135,082 total
Conversion
8% Convertible Note Issued 9/9/2013
2015-01-30
Exp: 2015-03-31→ Common Stock
Purchase
Common Stock
2015-01-30$11.00/sh+23,457$258,027→ 2,158,539 total
Conversion
8% Convertible Note Issued 2/26/14
2015-01-30
Exp: 2015-03-31→ Common Stock
Conversion
8% Convertible Note Issued 12/2/2014
2015-01-30
Exp: 2015-03-31→ Common Stock

KERINS PATRICK J

10% Owner

Transactions

Conversion
8% Convertible Note Issued 9/9/2013
2015-01-30
Exp: 2015-03-31→ Common Stock
Conversion
8% Convertible Note Issued 12/2/2014
2015-01-30
Exp: 2015-03-31→ Common Stock
Purchase
Common Stock
2015-01-30$11.00/sh+23,457$258,027→ 2,158,539 total
Conversion
Common Stock
2015-01-30$9.35/sh+341,201$3,190,229→ 2,135,082 total
Conversion
8% Convertible Note Issued 2/26/14
2015-01-30
Exp: 2015-03-31→ Common Stock

KOLLURI KRISHNA KITTU

10% Owner

Transactions

Conversion
8% Convertible Note Issued 9/9/2013
2015-01-30
Exp: 2015-03-31→ Common Stock
Conversion
Common Stock
2015-01-30$9.35/sh+341,201$3,190,229→ 2,135,082 total
Conversion
8% Convertible Note Issued 2/26/14
2015-01-30
Exp: 2015-03-31→ Common Stock
Purchase
Common Stock
2015-01-30$11.00/sh+23,457$258,027→ 2,158,539 total
Conversion
8% Convertible Note Issued 12/2/2014
2015-01-30
Exp: 2015-03-31→ Common Stock

SANDELL SCOTT D

10% Owner

Transactions

Conversion
8% Convertible Note Issued 9/9/2013
2015-01-30
Exp: 2015-03-31→ Common Stock
Conversion
8% Convertible Note Issued 12/2/2014
2015-01-30
Exp: 2015-03-31→ Common Stock
Conversion
Common Stock
2015-01-30$9.35/sh+341,201$3,190,229→ 2,135,082 total
Purchase
Common Stock
2015-01-30$11.00/sh+23,457$258,027→ 2,158,539 total
Conversion
8% Convertible Note Issued 2/26/14
2015-01-30
Exp: 2015-03-31→ Common Stock

BASKETT FOREST

10% Owner

Transactions

Conversion
8% Convertible Note Issued 2/26/14
2015-01-30
Exp: 2015-03-31→ Common Stock
Conversion
Common Stock
2015-01-30$9.35/sh+341,201$3,190,229→ 2,135,082 total
Purchase
Common Stock
2015-01-30$11.00/sh+23,457$258,027→ 2,158,539 total
Conversion
8% Convertible Note Issued 9/9/2013
2015-01-30
Exp: 2015-03-31→ Common Stock
Conversion
8% Convertible Note Issued 12/2/2014
2015-01-30
Exp: 2015-03-31→ Common Stock

Footnotes (2)

[F1]The outstanding principal and accrued interest on the Convertible Notes 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.
[F2]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.

Documents

1 file

4
rrd421788.xmlPrimary

Issuer

Zosano Pharma Corp

CIK 0001587221

→

Entity typeoperating

IncorporatedDE

Related Parties

filerCIK 0001587221

Filing Metadata

Form type: 4
Filed: Feb 1, 7:00 PM ET
Accepted: Feb 2, 1:32 PM ET
Size: 22.9 KB

View on SEC.gov