SEC Form 4 · accession 0001145911-16-000005
Zosano Pharma Corp · ZSAN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Donald J Kellerman
Officer — VP, Clinical Dev & Med Affairs
Period of report
Aug 19, 2016
Accepted (ET)
Aug 22, 2016 · 7:18 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001587221
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Aug 19, 2016 | P | 15,920 | $1.32 | A | 15,920 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Warrants (right to buy) | $1.45 | Aug 19, 2016 | P | 15,920 | A | Aug 19, 2016 | Aug 26, 2017 | Common Stock | 15,920 | 15,920 | D |
| Series B Warrants (right to buy) | $1.55 | Aug 19, 2016 | P | 15,920 | A | Aug 19, 2016 | Aug 19, 2021 | Common Stock | 15,920 | 15,920 | D |