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Filing Details

Accession Number:
0001181431-10-058221
Form Type:
4
Zero Holdings:
No
Publication Time:
2010-11-30 19:04:15
Reporting Period:
2010-11-29
Filing Date:
2010-11-30
Accepted Time:
2010-11-30 19:04:15
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1375151 Zogenix Inc. ZGNX Pharmaceutical Preparations (2834) 205300780
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1252525 Kurt Wheeler C/o Clarus Ventures, Llc
101 Main Street, Suite 1210
Cambridge MA 92130
Yes No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2010-11-29 2,100,000 $0.00 2,100,000 No 4 C Indirect By Clarus Lifesciences I, L.P.
Common Stock Acquisiton 2010-11-29 1,247,947 $0.00 3,347,947 No 4 C Indirect By Clarus Lifesciences I, L.P.
Common Stock Acquisiton 2010-11-29 884,492 $0.00 4,232,439 No 4 C Indirect By Clarus Lifesciences I, L.P.
Common Stock Acquisiton 2010-11-29 1,750,000 $4.00 5,982,439 No 4 P Indirect By Clarus Lifesciences I, L.P.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect By Clarus Lifesciences I, L.P.
No 4 C Indirect By Clarus Lifesciences I, L.P.
No 4 C Indirect By Clarus Lifesciences I, L.P.
No 4 P Indirect By Clarus Lifesciences I, L.P.
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series A-1 Convertible Preferred Stock Disposition 2010-11-29 21,000,000 $0.00 2,100,000 $0.00
Common Stock Series B Convertible Preferred Stock Disposition 2010-11-29 12,479,474 $0.00 1,247,947 $0.00
Common Stock 8% Convertible Promissory Note Disposition 2010-11-29 884,492 $0.00 884,492 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
Footnotes
  1. Each of the Series A-1 Convertible Preferred Stock and the Series B Convertible Preferred Stock automatically converted to Common Stock upon the closing of the Issuer's initial public offering on November 29, 2010 at a conversion ratio of one share of Common Stock for every ten shares of Series A-1 Convertible Preferred Stock and one share of Common Stock for every ten shares of Series B Convertible Preferred Stock, as applicable, rounded down to the next whole number, for no additional consideration.
  2. These securities are held of record by Clarus Lifesciences I, L.P. ("CLI"). Clarus Ventures I Management, L.P. ("CVIM LP") is the general partner of CLI, and Clarus Ventures I, LLC ("CVI LLC") is the general partner of CVIM LP. CVI LLC and CVIM LP may each be deemed to share voting and dispositive power with respect to the securities owned by CLI. The Reporting Person is a manager of CVI LLC and a general partner of CVIM LP and in such capacities may be deemed to beneficially own the securities held of record by CVI, but disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.
  3. The principle of the Note and accrued interest thereon was automatically converted upon the closing of the Issuer's initial public offering on November 29, 2010 into shares of Common Stock at a conversion price equal to $4.00 per share, the per share price of the Common Stock sold in the Issuer's initial public offering.
  4. The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Person is the beneficial owner of equity securities covered by this statement.