-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, C1By2WW2pNJuRJFUXGyiyUFblwTb8cRInWM/eNkoZVLmtWYVooZCR1d3gWMoi9Yi iBENTdgCwQmoIg2Iui7jog== 0001209191-10-057213.txt : 20101129 0001209191-10-057213.hdr.sgml : 20101129 20101129194127 ACCESSION NUMBER: 0001209191-10-057213 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101129 FILED AS OF DATE: 20101129 DATE AS OF CHANGE: 20101129 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MITCHELL KATE CENTRAL INDEX KEY: 0001266275 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 101220242 MAIL ADDRESS: STREET 1: 950 TOWER LANE STREET 2: STE 700 CITY: FOSTER CITY STATE: CA ZIP: 94404 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: O'Driscoll Rory CENTRAL INDEX KEY: 0001366969 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 101220241 MAIL ADDRESS: STREET 1: 950 TOWER LANE STREET 2: SUITE 700 CITY: FOSTER CITY STATE: CA ZIP: 94404 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wienbar Sharon L CENTRAL INDEX KEY: 0001393556 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 101220240 MAIL ADDRESS: STREET 1: SCALE VENTURE PARTNERS STREET 2: 950 TOWER LANE, SUITE 700 CITY: FOSTER CITY STATE: CA ZIP: 94404 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Brooks Mark J CENTRAL INDEX KEY: 0001424875 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 101220243 MAIL ADDRESS: STREET 1: C/O IPC THE HOSPITALIST COMPANY, INC. STREET 2: 4605 LANKERSHIM BLVD., SUITE 617 CITY: NORTH HOLLYWOOD STATE: CA ZIP: 91602 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ZOGENIX, INC. CENTRAL INDEX KEY: 0001375151 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 205300780 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 12671 HIGH BLUFF DRIVE STREET 2: SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92130 BUSINESS PHONE: (858) 259-1165 MAIL ADDRESS: STREET 1: 12671 HIGH BLUFF DRIVE STREET 2: SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92130 FORMER COMPANY: FORMER CONFORMED NAME: ZOGENIX INC DATE OF NAME CHANGE: 20060911 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Scale Venture Partners II, LP CENTRAL INDEX KEY: 0001314703 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 101220245 BUSINESS ADDRESS: STREET 1: 950 TOWER LANE CITY: FOSTER CITY STATE: CA ZIP: 94404 BUSINESS PHONE: 650.378.6050 MAIL ADDRESS: STREET 1: 950 TOWER LANE CITY: FOSTER CITY STATE: CA ZIP: 94404 FORMER NAME: FORMER CONFORMED NAME: BAVP VII LP DATE OF NAME CHANGE: 20050119 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Scale Venture Management II, LLC CENTRAL INDEX KEY: 0001367512 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 101220244 BUSINESS ADDRESS: STREET 1: 950 TOWER LANE, SUITE 700 CITY: FOSTER CITY STATE: CA ZIP: 94404 BUSINESS PHONE: 650.378.6050 MAIL ADDRESS: STREET 1: 950 TOWER LANE, SUITE 700 CITY: FOSTER CITY STATE: CA ZIP: 94404 FORMER NAME: FORMER CONFORMED NAME: BA Venture Partners VII, LLC DATE OF NAME CHANGE: 20060626 4 1 doc4.xml FORM 4 SUBMISSION X0303 4 2010-11-29 0 0001375151 ZOGENIX, INC. ZGNX 0001314703 Scale Venture Partners II, LP 950 TOWER LANE, SUITE 700 FOSTER CITY CA 94404 0 0 1 0 0001367512 Scale Venture Management II, LLC 950 TOWER LANE, SUITE 700 FOSTER CITY CA 94404 0 0 1 0 0001424875 Brooks Mark J 450 TOWER LANE, SUITE 700 FOSTER CITY CA 94404 0 0 1 0 0001266275 MITCHELL KATE 950 TOWER LANE SUITE 700 FOSTER CITY CA 94404 0 0 1 0 0001366969 O'Driscoll Rory 450 TOWER LANE, SUITE 700 FOSTER CITY CA 94404 0 0 1 0 0001393556 Wienbar Sharon L 450 TOWER LANE, SUITE 700 FOSTER CITY CA 94404 0 0 1 0 Common Stock 2010-11-29 4 C 0 1400000 A 1400000 D Common Stock 2010-11-29 4 C 0 831901 A 2231901 D Common Stock 2010-11-26 4 P 0 589645 4.00 A 2821546 D Common Stock 2010-11-29 4 P 0 1250000 4.00 A 4071546 D Series A-1 Convertible Preferred Stock 2010-11-29 4 C 0 14000000 0.00 D Common Stock 1400000 0 D Series B Convertible Preferred Stock 2010-11-29 4 C 0 8319024 0.00 D Common Stock 831901 0 D Represents shares of common stock acquired upon the automatic conversion of Series A-1 Preferred Stock upon the closing of the Issuer's initial public offering of common stock. Each share of Series A-1 Preferred Stock converted into 0.1 shares of common stock. The securities are held directly by Scale Venture Partners II, LP ("Scale Partners"). The General Partner of Scale Partners is Scale Venture Management II, LLC ("Scale Management"). Louis Bock, Mark Brooks, Kate Mitchell, Rory O'Driscoll and Sharon Wienbar are managing members of Scale Management and share voting and investment power with respect to these securities. Each of the managing members of Scale Management disclaims beneficial ownership with respect to these securities except to the extent of his or her respective proportionate pecuniary interest therein. Represents shares of common stock acquired upon the automatic conversion of Series B Preferred Stock upon the closing of the Issuer's initial public offering of common stock. Each share of Series B Preferred Stock converted into 0.1 shares of common stock. The common stock was acquired upon conversion of a convertible promissory note exempt from the definition of a derivative security because the conversion price did not become fixed until automatic conversion at the time of the closing of the Issuer's initial public offering. Represents shares of common stock acquired by Scale Partners upon the conversion of convertible promissory notes issued to Scale Partners in July 2010. The outstanding principal amount and accrued but unpaid interest thereon was automatically converted into shares of common stock of the Issuer upon the consummation of an initial public offering of the Issuer's common stock at a conversion price equal to $4.00, which was the initial public offering price per share. These securities are preferred stock of the Issuer and did not have an expiration date. Prior to the Issuer's initial public offering of common stock, the securities were convertible at any time at the election of the holder. The securities automatically converted into shares of common stock upon the closing of the Issuer's initial public offering of common stock. By: Scale Venture Management II, LLC, its General Partner, by: Louis Bock, Managing Member, /s/ Louis Bock 2010-11-29 By: Louis Bock, Managing Member, /s/ Louis Bock 2010-11-29 /s/ Mark Brooks 2010-11-29 /s/ Kate Mitchell 2010-11-29 /s/ Rory O'Driscoll 2010-11-29 /s/ Sharon Wienbar 2010-11-29 -----END PRIVACY-ENHANCED MESSAGE-----