ZOGENIX, INC. Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 52 rows, 52 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2010-11-29: Reporting owner Halak Brian K; Form 4; Security Convertible Promissory Notes; Transaction C Conversion of derivative security.
- 2010-11-29: Reporting owner Halak Brian K; Form 4; Security Convertible Promissory Notes; Transaction C Conversion of derivative security.
- 2010-11-29: Reporting owner VITULLO NICOLE; Form 4; Security Convertible Promissory Notes; Transaction C Conversion of derivative security.
- 2010-11-29: Reporting owner VITULLO NICOLE; Form 4; Security Convertible Promissory Notes; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2010-11-29 | Halak Brian K 10% Owner | 4 | Convertible Promissory Notes Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −873,800 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | Halak Brian K 10% Owner | 4 | Convertible Promissory Notes Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −14,903 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | VITULLO NICOLE 10% Owner | 4 | Convertible Promissory Notes Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −873,800 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | VITULLO NICOLE 10% Owner | 4 | Convertible Promissory Notes Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −14,903 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | SCHOEMAKER KATHLEEN K 10% Owner | 4 | Convertible Promissory Notes Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −873,800 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | SCHOEMAKER KATHLEEN K 10% Owner | 4 | Convertible Promissory Notes Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −14,903 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | TREU JESSE I 10% Owner | 4 | Convertible Promissory Notes Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −873,800 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | TREU JESSE I 10% Owner | 4 | Convertible Promissory Notes Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −14,903 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | BLAIR JAMES C Director, 10% Owner | 4 | Convertible Promissory Notes Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −873,800 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | BLAIR JAMES C Director, 10% Owner | 4 | Convertible Promissory Notes Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −14,903 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | DOVEY BRIAN H 10% Owner | 4 | Convertible Promissory Notes Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −873,800 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | DOVEY BRIAN H 10% Owner | 4 | Convertible Promissory Notes Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −14,903 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | DP VII ASSOCIATES LP 10% Owner | 4 | Convertible Promissory Notes Derivative · Direct | C Conversion of derivative security | −14,903 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | DOMAIN PARTERS VII L P 10% Owner | 4 | Convertible Promissory Notes Derivative · Direct | C Conversion of derivative security | −873,800 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | Haas Ken Director | 4 | 8% Convertible Promissory Note Derivative · Indirect · By Abingworth Bioventures IV LP | C Conversion of derivative security | −382,613 0 owned after | no price filed | 2010-11-30 | |
| 2010-11-29 | Haas Ken Director | 4 | 8% Convertible Promissory Note Derivative · Indirect · By Abingworth Bioventures IV Executives LP | C Conversion of derivative security | −3,280 0 owned after | no price filed | 2010-11-30 | |
| 2010-11-29 | WHEELER KURT Director, 10% Owner | 4 | 8% Convertible Promissory Note Derivative · Indirect · By Clarus Lifesciences I, L.P. | C Conversion of derivative security | −884,492 0 owned after | no price filed | 2010-11-30 | |
| 2010-11-29 | Clarus Ventures I Management, L.P. | Clarus Lifesciences I, L.P. | STEINMETZ MICHAEL | HENNER DENNIS | LIPTAK ROBERT | Clarus Ventures I, LLC | GALAKATOS NICHOLAS | Simon Nicholas 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | 8% Convertible Promissory Note Derivative · Direct | C Conversion of derivative security | −884,492 0 owned after | no price filed | 2010-11-30 | |
| 2010-11-29 | McNerney Pete | THOMAS JAMES E | THOMAS MCNERNEY & PARTNERS LP | TMP Nominee II, LLC | TMP ASSOCIATES LP | Thomas, McNerney & Partners II L.P. | TMP Associates II LP | Thomas, McNerney & Partners II, LLC | TMP Nominee, LLC | Thomas, McNerney & Partners, LLC Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | 4 | 8% Convertible Promissory Note Derivative · Indirect · By Thomas, McNerney & Partners II, L.P. | C Conversion of derivative security | −392,585 0 owned after | no price filed | 2010-11-30 | |
| 2010-11-29 | McNerney Pete | THOMAS JAMES E | THOMAS MCNERNEY & PARTNERS LP | TMP Nominee II, LLC | TMP ASSOCIATES LP | Thomas, McNerney & Partners II L.P. | TMP Associates II LP | Thomas, McNerney & Partners II, LLC | TMP Nominee, LLC | Thomas, McNerney & Partners, LLC Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | 4 | 8% Convertible Promissory Note Derivative · Indirect · By TMP Nominee II, LLC | C Conversion of derivative security | −4,101 0 owned after | no price filed | 2010-11-30 | |
| 2010-11-29 | McNerney Pete | THOMAS JAMES E | THOMAS MCNERNEY & PARTNERS LP | TMP Nominee II, LLC | TMP ASSOCIATES LP | Thomas, McNerney & Partners II L.P. | TMP Associates II LP | Thomas, McNerney & Partners II, LLC | TMP Nominee, LLC | Thomas, McNerney & Partners, LLC Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | 4 | 8% Convertible Promissory Note Derivative · Indirect · By TMP Associates II, L.P. | C Conversion of derivative security | −1,473 0 owned after | no price filed | 2010-11-30 | |
| 2010-11-29 | MINOCHERHOMJEE ARDA PHD Director, 10% Owner | 4 | 8% Convertible Promissory Note Derivative · Indirect · By Chicago Growth Partners II, L.P. | C Conversion of derivative security | −594,146 0 owned after | no price filed | 2010-11-29 | |
| 2010-11-29 | Chicago Growth Partners II L P | Chicago Growth Management II, LLC | Chicago Growth Management II, LP Other (See Remarks) | Other (See Remarks) | Other (See Remarks) | 4 | 8% Convertible Promissory Note Derivative · Direct | C Conversion of derivative security | −594,146 0 owned after | no price filed | 2010-11-29 | |
| 2010-11-29 | Thomas, McNerney & Partners II, LLC | TMP ASSOCIATES LP | THOMAS MCNERNEY & PARTNERS LP | Thomas, McNerney & Partners, LLC | TMP Nominee, LLC | THOMAS JAMES E | TMP Associates II LP | Thomas, McNerney & Partners II L.P. | McNerney Pete | TMP Nominee II, LLC Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | 4 | 8% Convertible Promissory Note Derivative · Direct · (m) | C Conversion of derivative security | −129,855 0 owned after | no price filed | 2010-11-29 | |
| 2010-11-29 | Thomas, McNerney & Partners II, LLC | TMP ASSOCIATES LP | THOMAS MCNERNEY & PARTNERS LP | Thomas, McNerney & Partners, LLC | TMP Nominee, LLC | THOMAS JAMES E | TMP Associates II LP | Thomas, McNerney & Partners II L.P. | McNerney Pete | TMP Nominee II, LLC Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | 4 | 8% Convertible Promissory Note Derivative · Indirect · (m) | C Conversion of derivative security | −2,379 0 owned after | no price filed | 2010-11-29 | |
| 2010-11-29 | Thomas, McNerney & Partners II, LLC | TMP ASSOCIATES LP | THOMAS MCNERNEY & PARTNERS LP | Thomas, McNerney & Partners, LLC | TMP Nominee, LLC | THOMAS JAMES E | TMP Associates II LP | Thomas, McNerney & Partners II L.P. | McNerney Pete | TMP Nominee II, LLC Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | Other (See Footnote (10)) | 4 | 8% Convertible Promissory Note Derivative · Indirect · (m) | C Conversion of derivative security | −484 0 owned after | no price filed | 2010-11-29 | |
| 2010-11-22 holding as of filing | Chicago Growth Partners II L P | Chicago Growth Management II, LLC | Chicago Growth Management II, LP 10% Owner | 10% Owner | 10% Owner | 3 | 8% Convertible Promissory Note Derivative · Direct | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | Simon Nicholas | STEINMETZ MICHAEL | Clarus Ventures I Management, L.P. | Clarus Lifesciences I, L.P. | LIPTAK ROBERT | HENNER DENNIS | Clarus Ventures I, LLC | GALAKATOS NICHOLAS 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | 8% Convertible Promissory Note Derivative · Direct | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | THOMAS MCNERNEY & PARTNERS LP | TMP ASSOCIATES LP | TMP Nominee, LLC | TMP Associates II LP | Thomas, McNerney & Partners II, LLC | THOMAS JAMES E | Thomas, McNerney & Partners, LLC | McNerney Pete | Thomas, McNerney & Partners II L.P. | TMP Nominee II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | 8% Convertible Promissory Note Derivative · Indirect · By Thomas, McNerney & Partners II, L.P. | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | THOMAS MCNERNEY & PARTNERS LP | TMP ASSOCIATES LP | TMP Nominee, LLC | TMP Associates II LP | Thomas, McNerney & Partners II, LLC | THOMAS JAMES E | Thomas, McNerney & Partners, LLC | McNerney Pete | Thomas, McNerney & Partners II L.P. | TMP Nominee II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | 8% Convertible Promissory Note Derivative · Indirect · By TMP Nominee II, LLC | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | THOMAS MCNERNEY & PARTNERS LP | TMP ASSOCIATES LP | TMP Nominee, LLC | TMP Associates II LP | Thomas, McNerney & Partners II, LLC | THOMAS JAMES E | Thomas, McNerney & Partners, LLC | McNerney Pete | Thomas, McNerney & Partners II L.P. | TMP Nominee II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | 8% Convertible Promissory Note Derivative · Indirect · By TMP Associates II, L.P. | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | Thomas, McNerney & Partners, LLC | THOMAS JAMES E | TMP Nominee II, LLC | McNerney Pete | TMP ASSOCIATES LP | Thomas, McNerney & Partners II L.P. | THOMAS MCNERNEY & PARTNERS LP | TMP Nominee, LLC | TMP Associates II LP | Thomas, McNerney & Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | 8% Convertible Promissory Note Derivative · Indirect · By TMP Nominee, LLC | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | Thomas, McNerney & Partners, LLC | THOMAS JAMES E | TMP Nominee II, LLC | McNerney Pete | TMP ASSOCIATES LP | Thomas, McNerney & Partners II L.P. | THOMAS MCNERNEY & PARTNERS LP | TMP Nominee, LLC | TMP Associates II LP | Thomas, McNerney & Partners II, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | 8% Convertible Promissory Note Derivative · Indirect · By TMP Associates, L.P. | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | Thomas, McNerney & Partners II, LLC | TMP Nominee II, LLC | Thomas, McNerney & Partners II L.P. | Thomas, McNerney & Partners, LLC | TMP Associates II LP | McNerney Pete | THOMAS JAMES E | TMP ASSOCIATES LP | THOMAS MCNERNEY & PARTNERS LP | TMP Nominee, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | 8% Convertible Promissory Note Derivative · Direct · (m) | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | Haas Ken Director | 3 | 8% Convertible Promissory Note Derivative · Indirect · (m) | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | Haas Ken Director | 3 | 8% Convertible Promissory Note Derivative · Indirect · (m) | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | MINOCHERHOMJEE ARDA PHD Director, 10% Owner | 3 | 8% Convertible Promissory Note Derivative · Indirect · (m) | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | WHEELER KURT Director, 10% Owner | 3 | 8% Convertible Promissory Note Derivative · Indirect · (m) | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | SCHOEMAKER KATHLEEN K 10% Owner | 3 | Convertible Promissory Notes Derivative · Indirect · By Domain Partners VII, L.P. | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | SCHOEMAKER KATHLEEN K 10% Owner | 3 | Convertible Promissory Notes Derivative · Indirect · By DP VII Associates, L.P. | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | VITULLO NICOLE 10% Owner | 3 | Convertible Promissory Notes Derivative · Indirect · By Domain Partners VII, L.P. | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | VITULLO NICOLE 10% Owner | 3 | Convertible Promissory Notes Derivative · Indirect · By DP VII Associates, L.P. | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | TREU JESSE I 10% Owner | 3 | Convertible Promissory Notes Derivative · Indirect · By Domain Partners VII, L.P. | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | TREU JESSE I 10% Owner | 3 | Convertible Promissory Notes Derivative · Indirect · By DP VII Associates, L.P. | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | BLAIR JAMES C Director, 10% Owner | 3 | Convertible Promissory Notes Derivative · Indirect · (m) | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | BLAIR JAMES C Director, 10% Owner | 3 | Convertible Promissory Notes Derivative · Indirect · (m) | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | DOVEY BRIAN H 10% Owner | 3 | Convertible Promissory Notes Derivative · Indirect · By Domain Partners VII, L.P. | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | DOVEY BRIAN H 10% Owner | 3 | Convertible Promissory Notes Derivative · Indirect · By DP VII Associates, L.P. | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | DP VII ASSOCIATES LP 10% Owner | 3 | Convertible Promissory Notes Derivative · Direct | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | DOMAIN PARTERS VII L P 10% Owner | 3 | Convertible Promissory Notes Derivative · Direct | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | Halak Brian K 10% Owner | 3 | Convertible Promissory Notes Derivative · Indirect · By Domain Partners VII, L.P. | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | Halak Brian K 10% Owner | 3 | Convertible Promissory Notes Derivative · Indirect · By DP VII Associates, L.P. | Holding | no price filed | 2010-11-22 |