0001012975-11-000265.txt : 20110920 0001012975-11-000265.hdr.sgml : 20110920 20110920155656 ACCESSION NUMBER: 0001012975-11-000265 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20110916 FILED AS OF DATE: 20110920 DATE AS OF CHANGE: 20110920 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STEINMETZ MICHAEL CENTRAL INDEX KEY: 0001166285 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 111099491 MAIL ADDRESS: STREET 1: THE JOHN HANCOCK TOWER STREET 2: 200 CLARENDON STREET, 54TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HENNER DENNIS CENTRAL INDEX KEY: 0001249153 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 111099493 MAIL ADDRESS: STREET 1: THE JOHN HANCOCK TOWER STREET 2: 200 CLARENDON STREET, 54TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GALAKATOS NICHOLAS CENTRAL INDEX KEY: 0001252522 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 111099492 MAIL ADDRESS: STREET 1: THE JOHN HANCOCK TOWER STREET 2: 200 CLARENDON STREET, 54TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LIPTAK ROBERT CENTRAL INDEX KEY: 0001252523 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 111099495 MAIL ADDRESS: STREET 1: THE JOHN HANCOCK TOWER STREET 2: 200 CLARENDON STREET, 54TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WHEELER KURT CENTRAL INDEX KEY: 0001252525 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 111099499 MAIL ADDRESS: STREET 1: 801 GATEWAY BLVD STREET 2: STE 410 CITY: SAN FRANCISCO STATE: CA ZIP: 94080 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Simon Nicholas CENTRAL INDEX KEY: 0001431403 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 111099494 MAIL ADDRESS: STREET 1: 531 PARROTT DRIVE CITY: SAN MATEO STATE: CA ZIP: 94402 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: Clarus Ventures I, LLC CENTRAL INDEX KEY: 0001431441 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 111099496 BUSINESS ADDRESS: STREET 1: 101 MAIN STREET STREET 2: SUITE 1210 CITY: CAMBRIDGE STATE: MA ZIP: 02142 BUSINESS PHONE: 617-949-2200 MAIL ADDRESS: STREET 1: 101 MAIN STREET STREET 2: SUITE 1210 CITY: CAMBRIDGE STATE: MA ZIP: 02142 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Clarus Lifesciences I, L.P. CENTRAL INDEX KEY: 0001431445 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 111099498 BUSINESS ADDRESS: STREET 1: 101 MAIN STREET STREET 2: SUITE 1210 CITY: CAMBRIDGE STATE: MA ZIP: 02142 BUSINESS PHONE: 617-949-2200 MAIL ADDRESS: STREET 1: 101 MAIN STREET STREET 2: SUITE 1210 CITY: CAMBRIDGE STATE: MA ZIP: 02142 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Clarus Ventures I Management, L.P. CENTRAL INDEX KEY: 0001505590 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 111099497 BUSINESS ADDRESS: STREET 1: C/O CLARUS VENTURES STREET 2: 101 MAIN STREET, 12TH FLOOR CITY: CAMBRIDGE STATE: MA ZIP: 02142 BUSINESS PHONE: 617-949-2200 MAIL ADDRESS: STREET 1: C/O CLARUS VENTURES STREET 2: 101 MAIN STREET, 12TH FLOOR CITY: CAMBRIDGE STATE: MA ZIP: 02142 4 1 edgar.xml PRIMARY DOCUMENT X0304 4 2011-09-16 0001375151 ZOGENIX, INC. ZGNX 0001431445 Clarus Lifesciences I, L.P. C/O CLARUS VENTURES, LLC 101 MAIN STREET, SUITE 1210 CAMBRIDGE MA 02142 0 0 1 0 0001505590 Clarus Ventures I Management, L.P. C/O CLARUS VENTURES, LLC 101 MAIN STREET, SUITE 1210 CAMBRIDGE MA 02142 0 0 1 0 0001431441 Clarus Ventures I, LLC C/O CLARUS VENTURES, LLC 101 MAIN STREET, SUITE 1210 CAMBRIDGE MA 02142 0 0 1 0 0001252523 LIPTAK ROBERT C/O CLARUS VENTURES, LLC 101 MAIN STREET, SUITE 1210 CAMBRIDGE MA 02142 0 0 1 0 0001431403 Simon Nicholas C/O CLARUS VENTURES, LLC 101 MAIN STREET, SUITE 1210 CAMBRIDGE MA 02142 0 0 1 0 0001249153 HENNER DENNIS C/O CLARUS VENTURES, LLC 101 MAIN STREET, SUITE 1210 CAMBRIDGE MA 02142 0 0 1 0 0001252522 GALAKATOS NICHOLAS C/O CLARUS VENTURES, LLC 101 MAIN STREET, SUITE 1210 CAMBRIDGE MA 02142 0 0 1 0 0001252525 WHEELER KURT C/O CLARUS VENTURES, LLC 101 MAIN STREET, SUITE 1210 CAMBRIDGE MA 02142 1 0 1 0 0001166285 STEINMETZ MICHAEL C/O CLARUS VENTURES, LLC 101 MAIN STREET, SUITE 1210 CAMBRIDGE MA 02142 0 0 1 0 Common Stock 2011-09-16 4 P 0 3500000 2.00 A 9482439 I By Fund Securities held of record by Clarus Lifesciences I, L.P. (the "Fund"). Clarus Ventures I Management, L.P. (the "GPLP"), as the sole general partner of the Fund, may be deemed to beneficially own certain of the shares held of record by the Fund. The GPLP disclaims beneficial ownership of all shares held of record by the Fund in which the GPLP does not have an actual pecuniary interest. Clarus Ventures I, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held of record by the Fund. Each of Messrs. Galakatos, Henner, Liptak, Simon, Steinmetz and Wheeler, as individual Managing Directors of the GPLLC, may be deemed to beneficially own certain of the shares held of record by the Fund. Each of the GPLLC and Messrs. Galakatos, Henner, Liptak, Simon, Steinmetz and Wheeler disclaims beneficial ownership of all shares held of record by the Fund in which he does not have an actual pecuniary interest. /s/ Robert Liptak, Manager of Clarus Ventures I, LLC, general partner of Clarus Ventures I Management, L.P., general partner of Clarus Lifesciences I, L.P. 2011-09-20 /s/ Robert Liptak, Manager of Clarus Ventures I, LLC, general partner of Clarus Ventures I Management, L.P. 2011-09-20 /s/ Robert Liptak, Manager of Clarus Ventures I, LLC 2011-09-20 /s/ Robert Liptak, as attorney-in-fact for Nicholas Simon 2011-09-20 /s/ Robert Liptak 2011-09-20 /s/ Robert Liptak, as attorney-in-fact for Dennis Henner 2011-09-20 /s/ Robert Liptak, as attorney-in-fact for Nicholas Galakatos 2011-09-20 /s/ Robert Liptak, as attorney-in-fact for Kurt Wheeler 2011-09-20 /s/ Robert Liptak, as attorney-in-fact for Michael Steinmetz 2011-09-20 EX-24 2 attach_1.htm

POWER OF ATTORNEY



KNOW ALL BY THESE PRESENTS, that each person whose signature appears below hereby

constitutes and appoints Robert Liptak with full power to act singly, his true and lawful

attorney-in-fact, with full power of substitution, to: (i) sign any and all instruments,

certificates and documents that may be necessary, desirable or appropriate to be executed on

behalf of himself as an individual or in his capacity as a general partner of any

partnership or limited liability company, pursuant to Section 13 or 16 of the Securities

Exchange Act of 1934, as amended, and any and all regulations promulgated thereunder, (ii)

file the same (including any amendments thereto), with all exhibits thereto, and any other

documents in connection therewith, with the Securities and Exchange Commission, and any

stock exchange or similar authority and (iii) take any other action of any type whatsoever

in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of

benefit to, in the best interest of, or legally required by, the undersigned, it being

understood that the documents executed by such attorney-in-fact on behalf of the undersigned

pursuant to this power of attorney shall be in such form and shall contain such terms and

conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion,

granting unto said attorney-in-fact full power and authority to do and perform each and

every act and thing necessary, desirable or appropriate.



Each of the undersigned hereby grant to the attorney-in-fact full power and authority to do

and perform any and every act and thing whatsoever requisite, necessary or proper to be done

in the exercise of any of the rights and powers herein granted, as fully to all intents and

purposes as the undersigned might or could do if personally present with full power of

substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact

or such attorney-in-fact's substitute or substitutes, shall lawfully do or cause to be done

by virtue of this power of attorney and the rights and powers herein granted.



This power of attorney shall remain in full force and effect until revoked by the

undersigned in a signed writing delivered to the attorney-in-fact.



IN WITNESS WHEREOF, this Power of Attorney has been signed as of the 11th day of April,

2008.





  /s/ Nicholas Galakatos

 Nicholas Galakatos





  /s/ Dennis Henner

 Dennis Henner





  /s/ Jeffrey Leiden

 Jeffrey Leiden





  /s/ Nick Simon

 Nick Simon





  /s/ Michael Steinmetz

 Michael Steinmetz





  /s/ Kurt Wheeler

 Kurt Wheeler