FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
|||||||||||||||
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
|
2. Issuer Name and Ticker or Trading Symbol
ZYMOGENETICS INC [ ZGEN ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
||||||||||||||||||||||||
3. Date of Earliest Transaction
(Month/Day/Year) 02/21/2008 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
---|---|---|---|---|---|---|---|---|---|---|
1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock, no par value per share | 02/21/2008 | P | 200 | A | $9.02 | 7,800,720 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 1,542 | A | $9.03 | 7,802,262 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 500 | A | $9.04 | 7,802,762 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 2,100 | A | $9.05 | 7,804,862 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 3,900 | A | $9.06 | 7,808,762 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 900 | A | $9.07 | 7,809,662 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 1,000 | A | $9.08 | 7,810,662 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 1,600 | A | $9.09 | 7,812,262 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 7,100 | A | $9.1 | 7,819,362 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 4,000 | A | $9.11 | 7,823,362 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 3,163 | A | $9.12 | 7,826,525 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 5,000 | A | $9.13 | 7,831,525 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 10,700 | A | $9.14 | 7,842,225 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 12,548 | A | $9.15 | 7,854,773 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 17,717 | A | $9.16 | 7,872,490 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 9,300 | A | $9.17 | 7,881,790 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 7,900 | A | $9.18 | 7,889,690 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 800 | A | $9.19 | 7,890,490 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 400 | A | $9.2 | 7,890,890 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 100 | A | $9.21 | 7,890,990 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 600 | A | $9.22 | 7,891,590 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 500 | A | $9.23 | 7,892,090 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 100 | A | $9.24 | 7,892,190 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 1,200 | A | $9.25 | 7,893,390 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 500 | A | $9.26 | 7,893,890 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 600 | A | $9.27 | 7,894,490 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 1,200 | A | $9.28 | 7,895,690 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 400 | A | $9.29 | 7,896,090 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 800 | A | $9.3 | 7,896,890 | I | See footnotes(1)(2) | ||
Common Stock, no par value per share | 02/21/2008 | P | 200 | A | $9.32 | 7,897,090 | I | See footnotes(1)(2) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. The shares of the common stock, no par value per share (the "Common Stock"), of ZymoGenetics, Inc. to which this Form 4 relates are held by Warburg, Pincus Equity Partners, L.P., a Delaware limited partnership, and two affiliated partnerships organized under Netherlands law, Warburg, Pincus Netherlands Equity Partners I, C.V. and Warburg, Pincus Netherlands Equity Partners III, C.V. (together, "WPEP"). Warburg Pincus & Co., a New York general partnership ("WP"), is the managing member of Warburg Pincus Partners LLC, a New York limited liability company ("WP Partners"). WP Partners is the general partner of WPEP. WPEP is managed by Warburg Pincus LLC, a New York limited liability company ("WP LLC" and together with WPEP, WP and WP Partners, the "Warburg Pincus Entities"). |
2. Jonathan S. Leff, a director of the Issuer, is a General Partner of WP and a Managing Director and Member of WP LLC, and therefore, may be deemed to have an indirect pecuniary interest (within the meaning of Rule 16a-1 under the Exchange Act) in an indeterminate portion of the Common Stock held by WPEP. All shares indicated as owned by Mr. Leff are included because of his affiliation with the Warburg Pincus Entities. Mr. Leff disclaims beneficial ownership of the Common Stock held by the Warburg Pincus Entities. |
Remarks: |
Exhibit List Table I (cont'd) - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned * The Power of Attorney given by Mr. Leff was previously filed with SEC on September 13, 2007 as an exhibit to a statement on Form 4 filed by Mr. Leff with respect to ZymoGenetics, Inc. |
Jonathan S. Leff, Director, by /s/ Scott Arenare, Attorney-in-fact* | 02/25/2008 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |