Zosano Pharma Corp Forms 3, 4 and 5: Corporate Securities (Bonds and Notes)
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 22 rows, 22 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-01-30: Reporting owner BARRETT M JAMES; Form 4; Security 8% Convertible Note Issued 9/9/2013; Transaction C Conversion of derivative security.
- 2015-01-30: Reporting owner BARRETT M JAMES; Form 4; Security 8% Convertible Note Issued 2/26/2014; Transaction C Conversion of derivative security.
- 2015-01-30: Reporting owner BARRETT M JAMES; Form 4; Security 8% Convertible Note Issued 12/2/2014; Transaction C Conversion of derivative security.
- 2015-01-30: Reporting owner DRANT RYAN D | KOLLURI KRISHNA KITTU | NEA Partners 12, Limited Partnership | BASKETT FOREST | KERINS PATRICK J | BARRIS PETER J | New Enterprise Associates 12, Limited Partnership | NEA 12 GP, LLC | SANDELL SCOTT D; Form 4; Security 8% Convertible Note Issued 9/9/2013; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-01-30 | BARRETT M JAMES Director, 10% Owner | 4 | 8% Convertible Note Issued 9/9/2013 Derivative · Indirect · See Note 2 | C Conversion of derivative security | $0.00 | 2015-02-02 | ||
| 2015-01-30 | BARRETT M JAMES Director, 10% Owner | 4 | 8% Convertible Note Issued 2/26/2014 Derivative · Indirect · See Note 2 | C Conversion of derivative security | $0.00 | 2015-02-02 | ||
| 2015-01-30 | BARRETT M JAMES Director, 10% Owner | 4 | 8% Convertible Note Issued 12/2/2014 Derivative · Indirect · See Note 2 | C Conversion of derivative security | $0.00 | 2015-02-02 | ||
| 2015-01-30 | DRANT RYAN D | KOLLURI KRISHNA KITTU | NEA Partners 12, Limited Partnership | BASKETT FOREST | KERINS PATRICK J | BARRIS PETER J | New Enterprise Associates 12, Limited Partnership | NEA 12 GP, LLC | SANDELL SCOTT D 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | 8% Convertible Note Issued 9/9/2013 Derivative · Direct | C Conversion of derivative security | $0.00 | 2015-02-02 | ||
| 2015-01-30 | DRANT RYAN D | KOLLURI KRISHNA KITTU | NEA Partners 12, Limited Partnership | BASKETT FOREST | KERINS PATRICK J | BARRIS PETER J | New Enterprise Associates 12, Limited Partnership | NEA 12 GP, LLC | SANDELL SCOTT D 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | 8% Convertible Note Issued 2/26/14 Derivative · Direct | C Conversion of derivative security | $0.00 | 2015-02-02 | ||
| 2015-01-30 | DRANT RYAN D | KOLLURI KRISHNA KITTU | NEA Partners 12, Limited Partnership | BASKETT FOREST | KERINS PATRICK J | BARRIS PETER J | New Enterprise Associates 12, Limited Partnership | NEA 12 GP, LLC | SANDELL SCOTT D 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | 8% Convertible Note Issued 12/2/2014 Derivative · Direct | C Conversion of derivative security | $0.00 | 2015-02-02 | ||
| 2015-01-30 | BioMed Realty L P | BioMed Realty Trust Inc 10% Owner | 10% Owner | 4 | 8% Convertible Note Issued 9/9/13 Derivative · Indirect · By BMV Direct SO LP | C Conversion of derivative security | −337,150 0 owned after | $0.00 | 2015-02-02 | |
| 2015-01-30 | BioMed Realty L P | BioMed Realty Trust Inc 10% Owner | 10% Owner | 4 | 8% Convertible Note Issued 9/9/13 Derivative · Indirect · By BMV Direct SOTRS LP | C Conversion of derivative security | −1,101,393 0 owned after | $0.00 | 2015-02-02 | |
| 2015-01-30 | BioMed Realty L P | BioMed Realty Trust Inc 10% Owner | 10% Owner | 4 | 8% Convertible Note Issued 2/26/14 Derivative · Indirect · By BMV Direct SO LP | C Conversion of derivative security | −267,446 0 owned after | $0.00 | 2015-02-02 | |
| 2015-01-30 | BioMed Realty L P | BioMed Realty Trust Inc 10% Owner | 10% Owner | 4 | 8% Convertible Note Issued 2/26/14 Derivative · Indirect · By BMV Direct SOTRS LP | C Conversion of derivative security | −1,148,956 0 owned after | $0.00 | 2015-02-02 | |
| 2015-01-30 | BioMed Realty L P | BioMed Realty Trust Inc 10% Owner | 10% Owner | 4 | 8% Convertible Note Issued 12/2/14 Derivative · Indirect · By BMV Direct SOTRS LP | C Conversion of derivative security | −717,437 0 owned after | $0.00 | 2015-02-02 | |
| 2015-01-26 holding as of filing | BioMed Realty L P | BioMed Realty Trust Inc 10% Owner | 10% Owner | 3 | 8% Convertible Note Issued 9/9/13 Derivative · Indirect · By BMV Direct SO LP | Holding | no price filed | 2015-01-26 | ||
| 2015-01-26 holding as of filing | BioMed Realty L P | BioMed Realty Trust Inc 10% Owner | 10% Owner | 3 | 8% Convertible Note Issued 9/9/13 Derivative · Indirect · By BMV Direct SOTRS LP | Holding | no price filed | 2015-01-26 | ||
| 2015-01-26 holding as of filing | BioMed Realty L P | BioMed Realty Trust Inc 10% Owner | 10% Owner | 3 | 8% Convertible Note Issued 2/26/14 Derivative · Indirect · By BMV Direct SO LP | Holding | no price filed | 2015-01-26 | ||
| 2015-01-26 holding as of filing | BioMed Realty L P | BioMed Realty Trust Inc 10% Owner | 10% Owner | 3 | 8% Convertible Note Issued 2/26/14 Derivative · Indirect · By BMV Direct SOTRS LP | Holding | no price filed | 2015-01-26 | ||
| 2015-01-26 holding as of filing | BioMed Realty L P | BioMed Realty Trust Inc 10% Owner | 10% Owner | 3 | 8% Convertible Note Issued 12/2/14 Derivative · Indirect · By BMV Direct SOTRS LP | Holding | no price filed | 2015-01-26 | ||
| 2015-01-26 holding as of filing | BARRETT M JAMES Director, 10% Owner | 3 | 8% Convertible Note Issued 9/9/2013 Derivative · Indirect · See Note 1 | Holding | no price filed | 2015-01-26 | ||
| 2015-01-26 holding as of filing | BARRETT M JAMES Director, 10% Owner | 3 | 8% Convertible Note Issued 2/26/2014 Derivative · Indirect · See Note 1 | Holding | no price filed | 2015-01-26 | ||
| 2015-01-26 holding as of filing | BARRETT M JAMES Director, 10% Owner | 3 | 8% Convertible Note Issued 12/2/2014 Derivative · Indirect · See Note 1 | Holding | no price filed | 2015-01-26 | ||
| 2015-01-26 holding as of filing | BARRIS PETER J | KOLLURI KRISHNA KITTU | BASKETT FOREST | KERINS PATRICK J | SANDELL SCOTT D | NEA Partners 12, Limited Partnership | New Enterprise Associates 12, Limited Partnership | DRANT RYAN D | NEA 12 GP, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | 8% Convertible Note Issued 9/9/2013 Derivative · Direct | Holding | no price filed | 2015-01-26 | ||
| 2015-01-26 holding as of filing | BARRIS PETER J | KOLLURI KRISHNA KITTU | BASKETT FOREST | KERINS PATRICK J | SANDELL SCOTT D | NEA Partners 12, Limited Partnership | New Enterprise Associates 12, Limited Partnership | DRANT RYAN D | NEA 12 GP, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | 8% Convertible Note Issued 2/26/14 Derivative · Direct | Holding | no price filed | 2015-01-26 | ||
| 2015-01-26 holding as of filing | BARRIS PETER J | KOLLURI KRISHNA KITTU | BASKETT FOREST | KERINS PATRICK J | SANDELL SCOTT D | NEA Partners 12, Limited Partnership | New Enterprise Associates 12, Limited Partnership | DRANT RYAN D | NEA 12 GP, LLC 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | 8% Convertible Note Issued 12/2/2014 Derivative · Direct | Holding | no price filed | 2015-01-26 |