ZOGENIX, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 140 rows in 2010. 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 Series A-1 Preferred Stock; Transaction C Conversion of derivative security.
- 2010-11-29: Reporting owner Halak Brian K; Form 4; Security Series B Preferred Stock; Transaction C Conversion of derivative security.
- 2010-11-29: Reporting owner Halak Brian K; Form 4; Security Series A-1 Preferred Stock; Transaction C Conversion of derivative security.
- 2010-11-29: Reporting owner Halak Brian K; Form 4; Security Series B Preferred Stock; 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 | Series A-1 Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −2,064,781 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | Halak Brian K 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −1,232,861 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | Halak Brian K 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −35,215 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | Halak Brian K 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −21,027 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | VITULLO NICOLE 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −2,064,781 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | VITULLO NICOLE 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −1,232,861 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | VITULLO NICOLE 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −35,215 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | VITULLO NICOLE 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −21,027 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | VITULLO NICOLE 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By Domain Partners VI, L.P. | C Conversion of derivative security | −9,894 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | VITULLO NICOLE 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By DP VI Associates, L.P. | C Conversion of derivative security | −106 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | SCHOEMAKER KATHLEEN K 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −2,064,781 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | SCHOEMAKER KATHLEEN K 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −1,232,861 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | SCHOEMAKER KATHLEEN K 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −35,215 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | SCHOEMAKER KATHLEEN K 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −21,027 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | SCHOEMAKER KATHLEEN K 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By Domain Partners VI, L.P. | C Conversion of derivative security | −9,894 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | SCHOEMAKER KATHLEEN K 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By DP VI Associates, L.P. | C Conversion of derivative security | −106 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | TREU JESSE I 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −2,064,781 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | TREU JESSE I 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −1,232,861 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | TREU JESSE I 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −35,215 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | TREU JESSE I 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −21,027 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | TREU JESSE I 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By Domain Partners VI, L.P. | C Conversion of derivative security | −9,894 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | TREU JESSE I 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By DP VI Associates, L.P. | C Conversion of derivative security | −106 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | BLAIR JAMES C Director, 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −2,064,781 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | BLAIR JAMES C Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −1,232,861 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | BLAIR JAMES C Director, 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −35,215 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | BLAIR JAMES C Director, 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −21,027 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | BLAIR JAMES C Director, 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By Domain Partners VI, L.P. | C Conversion of derivative security | −9,894 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | BLAIR JAMES C Director, 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By DP VI Associates, L.P. | C Conversion of derivative security | −106 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | DOVEY BRIAN H 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −2,064,781 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | DOVEY BRIAN H 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | C Conversion of derivative security | −1,232,861 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | DOVEY BRIAN H 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −35,215 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | DOVEY BRIAN H 10% Owner | 4 | Series B Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | C Conversion of derivative security | −21,027 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | DOVEY BRIAN H 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By Domain Partners VI, L.P. | C Conversion of derivative security | −9,894 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | DOVEY BRIAN H 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Indirect · By DP VI Associates, L.P. | C Conversion of derivative security | −106 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | DP VI Associates, L.P. 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −106 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | Domain Partners VI, L.P. 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −9,894 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | DP VII ASSOCIATES LP 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −35,215 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | DP VII ASSOCIATES LP 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −21,027 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | DOMAIN PARTERS VII L P 10% Owner | 4 | Series A-1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −2,064,781 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | DOMAIN PARTERS VII L P 10% Owner | 4 | Series B Preferred Stock Derivative · Direct | C Conversion of derivative security | −1,232,861 0 owned after | $0.00 | 2010-12-01 | |
| 2010-11-29 | Haas Ken Director | 4 | Series A-2 Convertible Preferred Stock Derivative · Indirect · By Abingworth Bioventures IV LP | C Conversion of derivative security | −9,013,631 0 owned after | no price filed | 2010-11-30 | |
| 2010-11-29 | Haas Ken Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By Abingworth Bioventures IV LP | C Conversion of derivative security | −5,356,437 0 owned after | no price filed | 2010-11-30 | |
| 2010-11-29 | Haas Ken Director | 4 | Series A-2 Convertible Preferred Stock Derivative · Indirect · By Abingworth Bioventures IV Executives LP | C Conversion of derivative security | −77,278 0 owned after | no price filed | 2010-11-30 | |
| 2010-11-29 | Haas Ken Director | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By Abingworth Bioventures IV Executives LP | C Conversion of derivative security | −45,930 0 owned after | no price filed | 2010-11-30 | |
| 2010-11-29 | WHEELER KURT Director, 10% Owner | 4 | Series A-1 Convertible Preferred Stock Derivative · Indirect · By Clarus Lifesciences I, L.P. | C Conversion of derivative security | −21,000,000 0 owned after | no price filed | 2010-11-30 | |
| 2010-11-29 | WHEELER KURT Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By Clarus Lifesciences I, L.P. | C Conversion of derivative security | −12,479,474 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 | Series A-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −21,000,000 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 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −12,479,474 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 | Series B Convertible Preferred Stock Derivative · Indirect · By Thomas, McNerney & Partners II, L.P. | C Conversion of derivative security | −4,905,024 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 | Series B Convertible Preferred Stock Derivative · Indirect · By TMP Nominee II, LLC | C Conversion of derivative security | −51,239 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 | Series B Convertible Preferred Stock Derivative · Indirect · By TMP Associates II, L.P. | C Conversion of derivative security | −18,406 0 owned after | no price filed | 2010-11-30 | |
| 2010-11-29 | HAWLEY ROGER Director, Officer (Chief Executive Officer) | 4 | Series A-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −100,000 0 owned after | no price filed | 2010-11-29 | |
| 2010-11-29 | GARNER CAM L Director | 4 | Series A-1 Convertible Preferred Stock Derivative · Indirect · By Garner Investments, LLC | C Conversion of derivative security | −100,000 0 owned after | no price filed | 2010-11-29 | |
| 2010-11-29 | MINOCHERHOMJEE ARDA PHD Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · By Chicago Growth Partners II, L.P. | C Conversion of derivative security | −18,181,818 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 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −18,181,818 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 | Series A-1 Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −11,527,800 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 | Series B Convertible Preferred Stock Derivative · Direct · (m) | C Conversion of derivative security | −2,071,593 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 | Series A-1 Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −428,400 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 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −76,975 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 | Series A-1 Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −43,800 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 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | C Conversion of derivative security | −7,869 0 owned after | no price filed | 2010-11-29 | |
| 2010-11-29 | Brooks Mark J | Scale Venture Management II, LLC | Scale Venture Partners II, LP | MITCHELL KATE | O'Driscoll Rory | Wienbar Sharon L 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A-1 Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −14,000,000 0 owned after | $0.00 | 2010-11-29 | |
| 2010-11-29 | Brooks Mark J | Scale Venture Management II, LLC | Scale Venture Partners II, LP | MITCHELL KATE | O'Driscoll Rory | Wienbar Sharon L 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Direct | C Conversion of derivative security | −8,319,024 0 owned after | $0.00 | 2010-11-29 | |
| 2010-11-29 | BOCK LOUIS C Director, 10% Owner | 4 | Series A-1 Convertible Preferred Stock Derivative · Indirect · See FN | C Conversion of derivative security | −14,000,000 0 owned after | $0.00 | 2010-11-29 | |
| 2010-11-29 | BOCK LOUIS C Director, 10% Owner | 4 | Series B Convertible Preferred Stock Derivative · Indirect · See FN | C Conversion of derivative security | −8,319,024 0 owned after | $0.00 | 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 | Series B Convertible Preferred Stock 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 | Series A-1 Convertible Preferred Stock 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 | Series B Convertible Preferred Stock 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 | Series B Convertible Preferred Stock 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 | Series B Convertible Preferred Stock 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 | Series B Convertible Preferred Stock 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 | Series A-1 Convertible Preferred Stock Derivative · Indirect · By TMP Associates, 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 | Series B Convertible Preferred Stock 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 | Series A-1 Convertible Preferred Stock Derivative · Direct · (m) | 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 | Series B Convertible Preferred Stock Derivative · Direct · (m) | 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 | Series A-1 Convertible Preferred Stock Derivative · Indirect · (m) | 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 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | GARNER CAM L Director | 3 | Series A-1 Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | Haas Ken Director | 3 | Series A-2 convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | Haas Ken Director | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | Haas Ken Director | 3 | Series A-2 convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | Haas Ken Director | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | MINOCHERHOMJEE ARDA PHD Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | HAWLEY ROGER Director, Officer (Chief Executive Officer) | 3 | Series A-1 Preferred Stock Derivative · Direct | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | WHEELER KURT Director, 10% Owner | 3 | Series A-1 Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | WHEELER KURT Director, 10% Owner | 3 | Series B Convertible Preferred Stock Derivative · Indirect · (m) | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | SCHOEMAKER KATHLEEN K 10% Owner | 3 | Series A-1 Preferred Stock 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 | Series B Preferred Stock 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 | Series A-1 Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | SCHOEMAKER KATHLEEN K 10% Owner | 3 | Series B Preferred Stock Derivative · Indirect · By DP VII Associates, L.P. | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | SCHOEMAKER KATHLEEN K 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Indirect · By Domain Partners VI, L.P. | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | SCHOEMAKER KATHLEEN K 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Indirect · By DP VI Associates, L.P. | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | VITULLO NICOLE 10% Owner | 3 | Series A-1 Preferred Stock 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 | Series B Preferred Stock 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 | Series A-1 Preferred Stock 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 | Series B Preferred Stock 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 | Series A-1 Preferred Stock Derivative · Indirect · By Domain Partners VI, L.P. | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | VITULLO NICOLE 10% Owner | 3 | Series A-1 Preferred Stock Derivative · Indirect · By DP VI Associates, L.P. | Holding | no price filed | 2010-11-22 | ||
| 2010-11-22 holding as of filing | TREU JESSE I 10% Owner | 3 | Series A-1 Preferred Stock 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 | Series B Preferred Stock Derivative · Indirect · By Domain Partners VII, L.P. | Holding | no price filed | 2010-11-22 |