-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, IPz8s9AMkhUHBxQGQUCENZ4Y66GdH2qkzgfoWXi6y8vWznIv2QbmPe+buVnK0EPs hRQWb7KiM4Kgvyk3NUK6NQ== 0000899140-07-001559.txt : 20070917 0000899140-07-001559.hdr.sgml : 20070917 20070917160515 ACCESSION NUMBER: 0000899140-07-001559 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20070913 FILED AS OF DATE: 20070917 DATE AS OF CHANGE: 20070917 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ZYMOGENETICS INC CENTRAL INDEX KEY: 0001129425 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 911144498 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1201 EASTLAKE AVENUE E CITY: SEATTLE STATE: WA ZIP: 98102 BUSINESS PHONE: 206-442-6600 MAIL ADDRESS: STREET 1: 1201 EASTLAKE AVENUE E CITY: SEATTLE STATE: WA ZIP: 98102 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LEFF JONATHAN S CENTRAL INDEX KEY: 0001215242 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-33489 FILM NUMBER: 071120142 BUSINESS ADDRESS: STREET 1: WARBURG PINCUS & CO STREET 2: 466 LEXINGTON AVE CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2128789219 MAIL ADDRESS: STREET 1: C/O WARBURG PINCUS STREET 2: 466 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 4 1 leff_zgen4-091707ex.xml X0202 4 2007-09-13 0 0001129425 ZYMOGENETICS INC ZGEN 0001215242 LEFF JONATHAN S C/O WARBURG PINCUS & CO. 466 LEXINGTON AVENUE NEW YORK NY 10017 1 0 0 0 Common Stock, no par value per share 2007-09-13 4 P 0 200 11.53 A 7547612 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 600 11.54 A 7548212 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 1700 11.55 A 7549912 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 628 11.56 A 7550540 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 7002 11.57 A 7557542 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 10200 11.58 A 7567742 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 5998 11.59 A 7573740 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 3500 11.60 A 7577240 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 700 11.61 A 7577940 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 4800 11.6199 A 7582740 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 2400 11.63 A 7585140 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 100 11.64 A 7585240 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 100 11.65 A 7585340 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 2100 11.70 A 7587440 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 900 11.73 A 7588340 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 100 11.75 A 7588440 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 1300 11.76 A 7589740 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 200 11.79 A 7589940 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 2600 11.80 A 7592540 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 3400 11.81 A 7595940 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 100 11.82 A 7596040 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 2050 11.83 A 7598090 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 2996 11.84 A 7601086 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 4604 11.85 A 7605690 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 1500 11.86 A 7607190 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 2872 11.87 A 7610062 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 800 11.88 A 7610862 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 5800 11.89 A 7616662 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 2100 11.90 A 7618762 I See footnotes Common Stock, no par value per share 2007-09-13 4 P 0 2622 11.92 A 7621384 I See footnotes The shares of the common stock, no par value per share (the "Common Stock"), of ZymoGenetics, Inc. to which this Form 4 relates are held by Warburg, Pincus Equity Partners, L.P., a Delaware limited partnership, and two affiliated partnerships organized under Netherlands law, Warburg, Pincus Netherlands Equity Partners I, C.V. and Warburg, Pincus Netherlands Equity Partners III, C.V. (together, "WPEP"). Warburg Pincus & Co., a New York general partnership ("WP"), is the managing member of Warburg Pincus Partners LLC, a New York limited liability company ("WP Partners"). WP Partners is the general partner of WPEP. WPEP is managed by Warburg Pincus LLC, a New York limited liability company ("WP LLC" and together with WPEP, WP and WP Partners, the "Warburg Pincus Entities"). Jonathan S. Leff is a General Partner of WP and a Managing Director and Member of WP LLC, and therefore, may be deemed to have an indirect pecuniary interest in the Common Stock held by WPEP. Mr. Leff disclaims beneficial ownership of the Common Stock held by the Warburg Pincus Entities. *** The Power of Attorney given by Mr. Leff was previously filed with the SEC on September 13, 2007 as an exhibit to a Form 4 filed by Mr. Leff with respect to ZymoGenetics, Inc. Exhibit List Exhibit 99.1 - Table I (cont'd) Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned Jonathan S. Leff, Director, by /s/ Scott A. Arenare, Attorney-in-Fact*** 2007-09-17 EX-99 2 z091707.txt EXHIBIT 99.1 - LIST OF TRANSACTIONS - ------------------------------------------------------------------------------------- ---------------------------------------------- 1. Name and Address of Reporting Person: 2. Issuer Name and Ticker or Trading Symbol: ZymoGenetics, Inc. (ZGEN) Leff, Jonathan S. c/o Warburg Pincus & Co., 466 Lexington Avenue, New York, New York 10017 - ------------------------------------------------------------------------------------- ---------------------------------------------- Exhibit 99.1 - ------------------------------------------------------------------------------------- ---------------------------------------------- Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - ---------------------- --------------- ----------- ------------ -------------------------- --------------- ------------ ----------- - ---------------------- --------------- ----------- ------------ -------------------------- --------------- ------------ -----------
1. Title of Security 2. Transaction 2A. 3. 4. Securities Acquired 5. Amount of 6. 7. Nature (Instr. 3) Date Deemed Transaction (A) or Disposed of (D) Securities Ownership of Execution Code (Instr. (Instr. 3, 4, and 5) Beneficially Form: Indirect Date, if 8) Owned Direct (D) Beneficial any Following or Ownership (Month/Day/ Reported Indirect (Instr. 4) Year) Transaction(s) (I) (Instr. 3 and (Instr. 4) 4) - ---------------------- --------------- ----------- ------------ -------------------------- --------------- ------------ ----------- Code V Amount (A) or Price (D) - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- Common Stock, no par value per share 9/13/07 P 3,500 A $11.93 7,624,884 I (1)(2) - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- Common Stock, no par value per share 9/13/07 P 2,700 A $11.94 7,627,584 I (1)(2) - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- Common Stock, no par value per share 9/13/07 P 2,500 A $11.95 7,630,084 I (1)(2) - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- Common Stock, no par value per share 9/13/07 P 4,898 A $11.96 7,634,982 I (1)(2) - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- Common Stock, no par value per share 9/13/07 P 13,764 A $11.97 7,648,746 I (1)(2) - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- Common Stock, no par value per share 9/13/07 P 12,701 A $11.98 7,661,447 I (1)(2) - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- Common Stock, no par value per share 9/13/07 P 23,972 A $11.99 7,685,419 I (1)(2) - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- Common Stock, no par value per share 9/13/07 P 25,293 A $12.00 7,710,712 I (1)(2) - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- Common Stock, no par value per share 9/14/07 P 100 A $11.89 7,710,812 I (1)(2) - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- Common Stock, no par value per share 9/14/07 P 100 A $11.94 7,710,912 I (1)(2) - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- Common Stock, no par value per share 9/14/07 P 1,853 A $11.98 7,712,765 I (1)(2) - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- Common Stock, no par value per share 9/14/07 P 14,418 A $11.99 7,727,183 I (1)(2) - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- Common Stock, no par value per share 9/14/07 P 27,729 A $12.00 7,754,912 I (1)(2) - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- Common Stock, no par value per share 9/14/07 P 2,500 A $12.04 7,757,412 I (1)(2) - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- Common Stock, no par value per share 9/14/07 P 2,600 A $12.05 7,760,012 I (1)(2) - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- Common Stock, no par value per share 9/14/07 P 3,469 A $12.10 7,763,481 I (1)(2) - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- Common Stock, no par value per share 9/14/07 P 1,400 A $12.13 7,764,881 I (1)(2) - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- Common Stock, no par value per share 9/14/07 P 1,645 A $12.14 7,766,526 I (1)(2) - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- Common Stock, no par value per share 9/14/07 P 10,300 A $12.15 7,776,826 I (1)(2) - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- Common Stock, no par value per share 9/14/07 P 7,200 A $12.16 7,784,026 I (1)(2) - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- Common Stock, no par value per share 9/14/07 P 10,555 A $12.17 7,794,581 I (1)(2) - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- Common Stock, no par value per share 9/14/07 P 100 A $12.18 7,794,681 I (1)(2) - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- Common Stock, no par value per share 9/14/07 P 2,803 A $12.19 7,797,484 I (1)(2) - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ ----------- Common Stock, no par value per share 9/14/07 P 3,036 A $12.20 7,800,520 I (1)(2) - ---------------------- --------------- ----------- ------ ----- --------- ------- -------- --------------- ------------ -----------
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