-----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, MjKO+7YocnUhXmAznIPH2zR1rP3HjGUS1ft6yDVs4ZnC0SPhzjYAfZe1DT64HU7m pARIBgPQxQlItGMOvXJL6g== 0001181431-10-058035.txt : 20101129 0001181431-10-058035.hdr.sgml : 20101129 20101129214528 ACCESSION NUMBER: 0001181431-10-058035 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101129 FILED AS OF DATE: 20101129 DATE AS OF CHANGE: 20101129 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: Chicago Growth Partners II L P CENTRAL INDEX KEY: 0001413564 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 101220489 BUSINESS ADDRESS: STREET 1: 303 W Madison Str CITY: Chicago STATE: IL ZIP: 60606 BUSINESS PHONE: 312-698-6300 MAIL ADDRESS: STREET 1: 303 W Madison Str CITY: Chicago STATE: IL ZIP: 60606 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Chicago Growth Management II, LP CENTRAL INDEX KEY: 0001505481 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 101220487 BUSINESS ADDRESS: STREET 1: 303 W. MADISON ST., SUITE 2500 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: (312) 698-6300 MAIL ADDRESS: STREET 1: 303 W. MADISON ST., SUITE 2500 CITY: CHICAGO STATE: IL ZIP: 60606 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Chicago Growth Management II, LLC CENTRAL INDEX KEY: 0001505484 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 101220488 BUSINESS ADDRESS: STREET 1: 303 W. MADISON ST., SUITE 2500 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: (312) 698-6300 MAIL ADDRESS: STREET 1: 303 W. MADISON ST., SUITE 2500 CITY: CHICAGO STATE: IL ZIP: 60606 4 1 rrd292253.xml FORM 4 X0303 4 2010-11-29 1 0001375151 ZOGENIX, INC. ZGNX 0001413564 Chicago Growth Partners II L P 303 W. MADISON AVENUE, SUITE 2500 CHICAGO IL 60606 0 0 0 1 See Remarks 0001505484 Chicago Growth Management II, LLC 303 W. MADISON AVENUE, SUITE 2500 CHICAGO IL 60606 0 0 0 1 See Remarks 0001505481 Chicago Growth Management II, LP 303 W. MADISON AVENUE, SUITE 2500 CHICAGO IL 60606 0 0 0 1 See Remarks Common Stock 2010-11-29 4 C 0 1818181 A 1818181 D Common Stock 2010-11-29 4 C 0 594146 A 2412327 D Common Stock 2010-11-29 4 P 0 550000 4.00 A 2962327 D Series B Convertible Preferred Stock 2010-11-29 4 C 0 18181818 D Common Stock 1818181 0 D 8% Convertible Promissory Note 2010-11-29 4 C 0 594146 D Common Stock 594146 0 D The Series B Convertible Preferred Stock automatically converted to Common Stock at the closing of the Issuer's initial public offering on Novenber 29, 2010 at a conversion ratio of one share of Common Stock for every ten shares of Series B Convertible Preferred Stock, rounded down to the next whole number, for no additional consideration. These securities are held of record by Chicago Growth Partners II, L.P. ("CGP"). Chicago Growth Management II, LP ("CGM II LP") is the general partner of CGP, and Chicago Growth Management II, LLC ("CGM II LLC") is the general partner CGM II LP. CGM II LLC and CGM II LP have shared voting and dispositive power of the shares held by CGP, but each disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein. The principle of the Note and accrued interest thereon was automatically converted upon the closing of the Issuer's initial public offering on November 29, 2010 into shares of Common Stock at a conversion price equal to $4.00 per share, the per share price of the Common Stock sold in the Issuer's initial public offering. The filing of this statement shall not be deemed an admission that, for the purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the Reporting Persons are the beneficial owners of equity securities covered by this statement. Upon the closing of the Issuer's initial public offering on November 29, 2010, the Reporting Persons ceased to be 10% owners of the Issuer's securities. /s/ David Chandler, Managing Member of Chicago Growth Management II, LLC, the general partner of Chicago Growth Management II, LP, which is the general partner of Chicago Growth Partners II, L.P. 2010-11-29 /s/ David Chandler, Managing Member of Chicago Growth Management II, LLC 2010-11-29 /s/ David Chandler, Managing Member of Chicago Growth Management II, LLC, which is the general partner of Chicago Growth Management II, LP 2010-11-29 -----END PRIVACY-ENHANCED MESSAGE-----