SEC Form 4 · accession 0001181431-15-001721

Zosano Pharma Corp · ZSAN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director · 10% Owner

Period of report

Jan 30, 2015

Accepted (ET)

Feb 2, 2015 · 1:33 pm EST

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^F1,F2	Jan 30, 2015	C	341,201	$9.35	A	2,135,082	I	See Note 2
Common Stock^F2	Jan 30, 2015	P	23,457	$11.00	A	2,158,539	I	See Note 2
Common Stock	holding	—	—		—	5	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
8% Convertible Note Issued 9/9/2013^F2,F1	—	Jan 30, 2015	C	—	D	—	Mar 31, 2015	Common Stock	—	—	I
8% Convertible Note Issued 2/26/2014^F2,F1	—	Jan 30, 2015	C	—	D	—	Mar 31, 2015	Common Stock	—	—	I
8% Convertible Note Issued 12/2/2014^F2,F1	—	Jan 30, 2015	C	—	D	—	Mar 31, 2015	Common Stock	—	—	I

F1The outstanding principal and accrued interest on these Convertible Notes were 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.
F2The 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.