FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Zosano Pharma Corp [ ZSAN ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 01/30/2015 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 01/30/2015 | C | 64,661(1) | A | $9.35 | 518,904 | I | By BMV Direct SO LP(2) | ||
Common Stock | 01/30/2015 | P | 26,543 | A | $11 | 545,447 | I | By BMV Direct SO LP(2) | ||
Common Stock | 01/30/2015 | C | 317,409(1) | A | $9.35 | 1,896,982 | I | By BMV Direct SOTRS LP(3) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
8% Convertible Note Issued 9/9/13 | (1) | 01/30/2015 | C | 337,150.19 | (1) | 03/31/2015 | Common Stock | 337,150.19 | $0.00 | 0 | I | By BMV Direct SO LP(2) | |||
8% Convertible Note Issued 9/9/13 | (1) | 01/30/2015 | C | 1,101,393.09 | (1) | 03/31/2015 | Common Stock | 1,101,393.09 | $0.00 | 0 | I | By BMV Direct SOTRS LP(3) | |||
8% Convertible Note Issued 2/26/14 | (1) | 01/30/2015 | C | 267,446.47 | (1) | 03/31/2015 | Common Stock | 267,446.47 | $0.00 | 0 | I | By BMV Direct SO LP(2) | |||
8% Convertible Note Issued 2/26/14 | (1) | 01/30/2015 | C | 1,148,955.63 | (1) | 03/31/2015 | Common Stock | 1,148,955.63 | $0.00 | 0 | I | By BMV Direct SOTRS LP(3) | |||
8% Convertible Note Issued 12/2/14 | (1) | 01/30/2015 | C | 717,437.19 | (1) | 03/31/2015 | Common Stock | 717,437.19 | $0.00 | 0 | I | By BMV Direct SOTRS LP(3) |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. The 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. |
2. BioMed Realty, L.P. (the "Partnership") is the sole general partner of BMV Direct SO LP. The sole general partner of the Partnership is BioMed Realty Trust, Inc. (the "REIT"). The REIT has sole voting and dispositive power with respect to the shares directly held by BMV Direct SO LP. |
3. BioMed Realty Holdings, Inc. ("Holdings") is the sole general partner of BMV Direct SOTRS LP. The sole shareholder of Holdings is the Partnership. The sole general partner of the Partnership is the REIT. The REIT has sole voting and dispositive power with respect to the shares directly held by BMV Direct SOTRS LP. |
Remarks: |
Jonathan P.Klassen, Authorized Officer | 02/02/2015 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |