Zosano Pharma Corp Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 15 rows, 15 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2017-03-28: Reporting owner Kazma Gerald J | Kazma Michael D | Amzak Capital Management, LLC; Form 3; Security Series A Warrant; Transaction Holding.
- 2017-03-28: Reporting owner Kazma Gerald J | Kazma Michael D | Amzak Capital Management, LLC; Form 3; Security Series B Warrant; Transaction Holding.
- 2017-03-20: Reporting owner Alataris Konstantinos; Form 4; Security Series A Warrants (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2016-08-19: Reporting owner Erbez Georgia; Form 4; Security Series A Warrants (right to buy); Transaction P Open market or private purchase of non-derivative or derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2017-03-28 holding as of filing | Kazma Gerald J | Kazma Michael D | Amzak Capital Management, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series A Warrant Derivative · Direct | Holding | $1.45 exercise price | 2017-03-28 | ||
| 2017-03-28 holding as of filing | Kazma Gerald J | Kazma Michael D | Amzak Capital Management, LLC 10% Owner | 10% Owner | 10% Owner | 3 | Series B Warrant Derivative · Direct | Holding | $1.55 exercise price | 2017-03-28 | ||
| 2017-03-20 | Alataris Konstantinos Director, Officer (President, CEO) | 4 | Series A Warrants (right to buy) Derivative · Indirect · By The Alataris Family Trust | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −127,389 0 owned after | $1.45 exercise price | 2017-03-22 | |
| 2016-08-19 | Erbez Georgia Officer (Interim CFO) | 4 | Series A Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +47,750 47,750 owned after | $0.13 | 2016-08-22 | |
| 2016-08-19 | Erbez Georgia Officer (Interim CFO) | 4 | Series B Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +47,750 47,750 owned after | $0.13 | 2016-08-22 | |
| 2016-08-19 | Lewis Hayley Officer (VP, Reg Affairs & Quality) | 4 | Series A Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +4,775 4,775 owned after | $0.13 | 2016-08-22 | |
| 2016-08-19 | Lewis Hayley Officer (VP, Reg Affairs & Quality) | 4 | Series B Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +4,775 4,775 owned after | $0.13 | 2016-08-22 | |
| 2016-08-19 | KELLERMAN DONALD J Officer (VP, Clinical Dev & Med Affairs) | 4 | Series A Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +15,920 15,920 owned after | $0.13 | 2016-08-22 | |
| 2016-08-19 | KELLERMAN DONALD J Officer (VP, Clinical Dev & Med Affairs) | 4 | Series B Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +15,920 15,920 owned after | $0.13 | 2016-08-22 | |
| 2016-08-19 | WALKER JOHN PETER Director | 4 | Series A Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +63,700 63,700 owned after | $0.13 | 2016-08-22 | |
| 2016-08-19 | WALKER JOHN PETER Director | 4 | Series B Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +63,700 63,700 owned after | $0.13 | 2016-08-22 | |
| 2016-08-19 | Alataris Konstantinos Director, Officer (President, CEO) | 4 | Series A Warrants (right to buy) Derivative · Indirect · By The Alataris Family Trust | P Open market or private purchase of non-derivative or derivative security | +127,389 127,389 owned after | $0.13 | 2016-08-22 | |
| 2016-08-19 | Alataris Konstantinos Director, Officer (President, CEO) | 4 | Series B Warrants (right to buy) Derivative · Indirect · By The Alataris Family Trust | P Open market or private purchase of non-derivative or derivative security | +127,389 127,389 owned after | $0.13 | 2016-08-22 | |
| 2016-08-19 | XANTHOPOULOS KLEANTHIS G Director | 4 | Series A Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +15,920 15,920 owned after | $0.13 | 2016-08-22 | |
| 2016-08-19 | XANTHOPOULOS KLEANTHIS G Director | 4 | Series B Warrants (right to buy) Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +15,920 15,920 owned after | $0.13 | 2016-08-22 |