ZOGENIX, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 51 rows, 51 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2010-11-22: Reporting owner Chicago Growth Partners II L P | Chicago Growth Management II, LLC | Chicago Growth Management II, LP; Form 3; Security Stock Purchase Warrant (right to buy); Transaction Holding.
- 2010-11-22: Reporting owner 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; Form 3; Security Stock Purchase Warrant (right to buy); Transaction Holding.
- 2010-11-22: Reporting owner 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; Form 3; Security Stock Purchase Warrant (right to buy); Transaction Holding.
- 2010-11-22: Reporting owner 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; Form 3; Security Stock Purchase Warrant (right to buy); Transaction Holding.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 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 | Stock Purchase Warrant (right to buy) Derivative · Direct | Holding | $1.10 exercise price | 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 | Stock Purchase Warrant (right to buy) Derivative · Direct | Holding | $1.10 exercise price | 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 | Stock Purchase Warrant (right to buy) Derivative · Direct | Holding | $1.10 exercise price | 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 | Stock Purchase Warrant (right to buy) Derivative · Direct | Holding | $1.10 exercise price | 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 | Stock Purchase Warrant (right to buy) Derivative · Direct | Holding | $1.10 exercise price | 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 | Stock Purchase Warrant (right to buy) Derivative · Direct | Holding | $1.10 exercise price | 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 | Stock Purchase Warrant (right to buy) Derivative · Indirect · By Thomas, McNerney & Partners II, L.P. | Holding | $1.10 exercise price | 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 | Stock Purchase Warrant (right to buy) Derivative · Indirect · By TMP Nominee II, LLC | Holding | $1.10 exercise price | 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 | Stock Purchase Warrant (right to buy) Derivative · Indirect · By TMP Associates II, L.P. | Holding | $1.10 exercise price | 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 | Stock Purchase Warrant (right to buy) Derivative · Indirect · By TMP Nominee, LLC | Holding | $1.10 exercise price | 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 | Stock Purchase Warrant (right to buy) Derivative · Indirect · By TMP Nominee, LLC | Holding | $1.10 exercise price | 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 | Stock Purchase Warrant (right to buy) Derivative · Indirect · By TMP Associates, L.P. | Holding | $1.10 exercise price | 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 | Stock Purchase Warrant (right to buy) Derivative · Indirect · By TMP Associates, L.P. | Holding | $1.10 exercise price | 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 | Stock Purchase Warrant (right to buy) Derivative · Indirect · By TMP Associates, L.P. | Holding | $1.10 exercise price | 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 | Stock Purchase Warrant (right to buy) Derivative · Indirect · By TMP Associates, L.P. | Holding | $1.10 exercise price | 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 | Stock Purchase Warrant (right to buy) Derivative · Direct · (m) | Holding | $1.10 exercise price | 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 | Stock Purchase Warrant (right to buy) Derivative · Direct · (m) | Holding | $1.10 exercise price | 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 | Stock Purchase Warrant (right to buy) Derivative · Direct · (m) | Holding | $1.10 exercise price | 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 | Stock Purchase Warrant (right to buy) Derivative · Direct · (m) | Holding | $1.10 exercise price | 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 | Stock Purchase Warrant (right to buy) Derivative · Indirect · (m) | Holding | $1.10 exercise price | 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 | Stock Purchase Warrant (right to buy) Derivative · Indirect · (m) | Holding | $1.10 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | Haas Ken Director | 3 | Stock Purchase Warrant (right to buy) Derivative · Indirect · (m) | Holding | $1.10 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | Haas Ken Director | 3 | Stock Purchase Warrant (right to buy) Derivative · Indirect · (m) | Holding | $1.10 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | Haas Ken Director | 3 | Stock Purchase Warrant (right to buy) Derivative · Indirect · (m) | Holding | $1.10 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | Haas Ken Director | 3 | Stock Purchase Warrant (right to buy) Derivative · Indirect · (m) | Holding | $1.10 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | Haas Ken Director | 3 | Stock Purchase Warrant (right to buy) Derivative · Indirect · (m) | Holding | $1.10 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | Haas Ken Director | 3 | Stock Purchase Warrant (right to buy) Derivative · Indirect · (m) | Holding | $1.10 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | Haas Ken Director | 3 | Stock Purchase Warrant (right to buy) Derivative · Indirect · (m) | Holding | $1.10 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | Haas Ken Director | 3 | Stock Purchase Warrant (right to buy) Derivative · Indirect · (m) | Holding | $1.10 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | Haas Ken Director | 3 | Stock Purchase Warrant (right to buy) Derivative · Indirect · (m) | Holding | $1.10 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | Haas Ken Director | 3 | Stock Purchase Warrant (right to buy) Derivative · Indirect · (m) | Holding | $1.10 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | MINOCHERHOMJEE ARDA PHD Director, 10% Owner | 3 | Stock Purchase Warrant (right to buy) Derivative · Indirect · (m) | Holding | $1.10 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | WHEELER KURT Director, 10% Owner | 3 | Stock Purchase Warrant (right to buy) Derivative · Indirect · (m) | Holding | $1.10 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | WHEELER KURT Director, 10% Owner | 3 | Stock Purchase Warrant (right to buy) Derivative · Indirect · (m) | Holding | $1.10 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | WHEELER KURT Director, 10% Owner | 3 | Stock Purchase Warrant (right to buy) Derivative · Indirect · (m) | Holding | $1.10 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | WHEELER KURT Director, 10% Owner | 3 | Stock Purchase Warrant (right to buy) Derivative · Indirect · (m) | Holding | $1.10 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | WHEELER KURT Director, 10% Owner | 3 | Stock Purchase Warrant (right to buy) Derivative · Indirect · (m) | Holding | $1.10 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | SCHOEMAKER KATHLEEN K 10% Owner | 3 | Warrants Derivative · Indirect · By Domain Partners VII, L.P. | Holding | $11.00 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | SCHOEMAKER KATHLEEN K 10% Owner | 3 | Warrants Derivative · Indirect · By DP VII Associates, L.P. | Holding | $11.00 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | VITULLO NICOLE 10% Owner | 3 | Warrants Derivative · Indirect · By Domain Partners VII, L.P. | Holding | $11.00 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | VITULLO NICOLE 10% Owner | 3 | Warrants Derivative · Indirect · By DP VII Associates, L.P. | Holding | $11.00 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | TREU JESSE I 10% Owner | 3 | Warrants Derivative · Indirect · By Domain Partners VII, L.P. | Holding | $11.00 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | TREU JESSE I 10% Owner | 3 | Warrants Derivative · Indirect · By DP VII Associates, L.P. | Holding | $11.00 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | BLAIR JAMES C Director, 10% Owner | 3 | Warrants Derivative · Indirect · (m) | Holding | $11.00 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | BLAIR JAMES C Director, 10% Owner | 3 | Warrants Derivative · Indirect · (m) | Holding | $11.00 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | DOVEY BRIAN H 10% Owner | 3 | Warrants Derivative · Indirect · By Domain Partners VII, L.P. | Holding | $11.00 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | DOVEY BRIAN H 10% Owner | 3 | Warrants Derivative · Indirect · By DP VII Associates, L.P. | Holding | $11.00 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | DP VII ASSOCIATES LP 10% Owner | 3 | Warrants Derivative · Direct | Holding | $11.00 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | DOMAIN PARTERS VII L P 10% Owner | 3 | Warrants Derivative · Direct | Holding | $11.00 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | Halak Brian K 10% Owner | 3 | Warrants Derivative · Indirect · By Domain Partners VII, L.P. | Holding | $11.00 exercise price | 2010-11-22 | ||
| 2010-11-22 holding as of filing | Halak Brian K 10% Owner | 3 | Warrants Derivative · Indirect · By DP VII Associates, L.P. | Holding | $11.00 exercise price | 2010-11-22 |