SEC Form 4/A · accession 0001209191-15-085698
Zosano Pharma Corp · ZSAN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Konstantinos Alataris
Officer — President
Period of report
Dec 15, 2015
Accepted (ET)
Dec 17, 2015 · 1:30 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001587221
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F3,F1,F2 | $8.18 | Dec 15, 2015 | D | 48,896 | D | — | Sep 21, 2025 | Common Stock | 48,896 | 0 | D |
| Employee Stock Option (right to buy)F3,F1,F2,F4 | $8.18 | Dec 15, 2015 | D | 160,498 | D | — | Sep 21, 2025 | Common Stock | 160,498 | 0 | D |
Explanation of responses
- F1The original Form 4 filed on December 16, 2015 is amended by this Form 4 amendment to correct the stock option exercise price which was incorrectly reported in the original filing due to a clerical error.
- F2The option provided for 25% of the total number of shares underlying the stock option to vest on September 21, 2016, and the remaining underlying shares to vest in equal monthly installments over the following three-year period.
- F3On December 15, 2015, the issuer canceled, pursuant to the issuer's option exchange program, two options, one for 48,896 shares of ZSAN common stock and the other for 160,498 shares of ZSAN common stock, both of which were granted to the reporting person on September 21, 2015. In exchange, the reporting person received a replacement option, for 209,934 shares, having an exercise price of $2.26 per share.
- F4The original Form 4 filed on December 16, 2015 is amended by this Form 4 amendment to correct the expiration date which was incorrectly reported in the original filing due to a clerical error.