-----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, TCGDUL2JjzrPpIV2gUXqm7dcDyC3ey9BFiAa9wR9+gW4wmIVRWyYLmT1gpS/seph GGupH7XF2ACIqshRj6hFtA== 0001181431-10-058080.txt : 20101130 0001181431-10-058080.hdr.sgml : 20101130 20101130122618 ACCESSION NUMBER: 0001181431-10-058080 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101129 FILED AS OF DATE: 20101130 DATE AS OF CHANGE: 20101130 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TMP Associates II LP CENTRAL INDEX KEY: 0001383035 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 101221162 BUSINESS ADDRESS: STREET 1: 60 SOUTH SIXTH ST STE 3620 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 MAIL ADDRESS: STREET 1: 60 SOUTH SIXTH ST STE 3620 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TMP ASSOCIATES LP CENTRAL INDEX KEY: 0001226280 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 101221166 BUSINESS ADDRESS: STREET 1: 60 SOUTH SIXTH STREET STREET 2: SUITE 3510 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: 6123358666 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: THOMAS MCNERNEY & PARTNERS LP CENTRAL INDEX KEY: 0001231291 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 101221169 BUSINESS ADDRESS: STREET 1: 60 S SIXTH ST STREET 2: SUITE 3510 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: 6123358666 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: THOMAS JAMES E CENTRAL INDEX KEY: 0001204789 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 101221161 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: McNerney Pete CENTRAL INDEX KEY: 0001336119 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 101221160 MAIL ADDRESS: STREET 1: 60 SOUTH 6TH STREET STREET 2: SUITE 3620 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 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: Thomas, McNerney & Partners, LLC CENTRAL INDEX KEY: 0001335196 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 101221168 BUSINESS ADDRESS: STREET 1: 60 SOUTH SIXTH STREET STREET 2: SUITE 3620 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: (612) 465-8660 MAIL ADDRESS: STREET 1: 60 SOUTH SIXTH STREET STREET 2: SUITE 3620 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TMP Nominee, LLC CENTRAL INDEX KEY: 0001335200 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 101221167 BUSINESS ADDRESS: STREET 1: 60 SOUTH SIXTH STREET STREET 2: SUITE 3620 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: (612) 465-8660 MAIL ADDRESS: STREET 1: 60 SOUTH SIXTH STREET STREET 2: SUITE 3620 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Thomas, McNerney & Partners II L.P. CENTRAL INDEX KEY: 0001369574 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 101221165 BUSINESS ADDRESS: STREET 1: 60 South Sixth Street STREET 2: Suite 3620 CITY: Minneapolis STATE: MN ZIP: 55402 BUSINESS PHONE: 612-456-8660 MAIL ADDRESS: STREET 1: 60 South Sixth Street STREET 2: Suite 3620 CITY: Minneapolis STATE: MN ZIP: 55402 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TMP Nominee II, LLC CENTRAL INDEX KEY: 0001436054 STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 101221163 BUSINESS ADDRESS: STREET 1: ONE STAMFORD PLAZA STREET 2: 263 TRESSER BOULEVARD, SUITE 1620 CITY: STAMFORD STATE: CT ZIP: 06901 BUSINESS PHONE: 203-978-2000 MAIL ADDRESS: STREET 1: ONE STAMFORD PLAZA STREET 2: 263 TRESSER BOULEVARD, SUITE 1620 CITY: STAMFORD STATE: CT ZIP: 06901 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Thomas, McNerney & Partners II, LLC CENTRAL INDEX KEY: 0001505930 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 101221164 BUSINESS ADDRESS: STREET 1: 60 SOUTH 6TH STREET, SUITE 3620 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: 612-465-8671 MAIL ADDRESS: STREET 1: 60 SOUTH 6TH STREET, SUITE 3620 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 4 1 rrd292248.xml FORM 4 X0303 4 2010-11-29 1 0001375151 ZOGENIX, INC. ZGNX 0001231291 THOMAS MCNERNEY & PARTNERS LP 60 SOUTH 6TH STREET SUITE 3620 MINNEAPOLIS MN 55402 0 0 0 1 See Footnote (10) 0001335196 Thomas, McNerney & Partners, LLC 60 SOUTH 6TH STREET SUITE 3620 MINNEAPOLIS MN 55402 0 0 0 1 See Footnote (10) 0001335200 TMP Nominee, LLC 60 SOUTH 6TH STREET SUITE 3620 MINNEAPOLIS MN 55402 0 0 0 1 See Footnote (10) 0001226280 TMP ASSOCIATES LP 60 SOUTH 6TH STREET SUITE 3620 MINNEAPOLIS MN 55402 0 0 0 1 See Footnote (10) 0001369574 Thomas, McNerney & Partners II L.P. 60 SOUTH 6TH STREET SUITE 3620 MINNEAPOLIS MN 55402 0 0 0 1 See Footnote (10) 0001505930 Thomas, McNerney & Partners II, LLC 60 SOUTH 6TH STREET SUITE 3620 MINNEAPOLIS MN 55402 0 0 0 1 See Footnote (10) 0001436054 TMP Nominee II, LLC 60 SOUTH 6TH STREET SUITE 3620 MINNEAPOLIS MN 55402 0 0 0 1 See Footnote (10) 0001383035 TMP Associates II LP 60 SOUTH 6TH STREET SUITE 3620 MINNEAPOLIS MN 55402 0 0 0 1 See Footnote (10) 0001204789 THOMAS JAMES E 60 SOUTH 6TH STREET SUITE 3620 MINNEAPOLIS MN 55402 0 0 0 1 See Footnote (10) 0001336119 McNerney Pete 60 SOUTH 6TH STREET SUITE 3620 MINNEAPOLIS MN 55402 0 0 0 1 See Footnote (10) Common Stock 2010-11-29 4 C 0 490502 A 490502 I By Thomas, McNerney & Partners II, L.P. Common Stock 2010-11-29 4 C 0 392585 A 883087 I By Thomas, McNerney & Partners II, L.P. Common Stock 2010-11-29 4 P 0 524229 4.00 A 1407316 I By Thomas, McNerney & Partners II, L.P. Common Stock 2010-11-29 4 C 0 5123 A 5123 I By TMP Nominee II, LLC Common Stock 2010-11-29 4 C 0 4101 A 9224 I By TMP Nominee II, LLC Common Stock 2010-11-29 4 P 0 5476 4.00 A 14700 I By TMP Nominee II, LLC Common Stock 2010-11-29 4 C 0 1840 A 1840 I By TMP Associates II, L.P. Common Stock 2010-11-29 4 C 0 1473 A 3313 I By TMP Associates II, L.P. Common Stock 2010-11-29 4 P 0 1967 4.00 A 5280 I By TMP Associates II, L.P. Series B Convertible Preferred Stock 2010-11-29 4 C 0 4905024 D Common Stock 490502 0 I By Thomas, McNerney & Partners II, L.P. 8% Convertible Promissory Note 2010-11-29 4 C 0 392585 D Common Stock 392585 0 I By Thomas, McNerney & Partners II, L.P. Series B Convertible Preferred Stock 2010-11-29 4 C 0 51239 D Common Stock 5123 0 I By TMP Nominee II, LLC 8% Convertible Promissory Note 2010-11-29 4 C 0 4101 D Common Stock 4101 0 I By TMP Nominee II, LLC Series B Convertible Preferred Stock 2010-11-29 4 C 0 18406 D Common Stock 1840 0 I By TMP Associates II, L.P. 8% Convertible Promissory Note 2010-11-29 4 C 0 1473 D Common Stock 1473 0 I By TMP Associates II, L.P. Each of the Series A-1 Convertible Preferred Stock and the Series B Convertible Preferred Stock automatically converted to Common Stock at the closing of the Issuer's initial public offering on November 29, 2010 at a conversion ratio one share of Common Stock for every ten shares of Series A-1 Convertible Preferred Stock and one share of Common Stock for every ten shares of Series B Convertible Preferred Stock, as applicable, rounded down to the next whole number, for no additional consideration. 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. These securities are owned of record by Thomas, McNerney & Partners II, L.P. ("TMP II LP"). Thomas, McNerney & Partners II, LLC ("TMP II LLC") is the general partner of TMP II LP and has shared voting and dispositive power of the securities held by TMP II LP, but TMP II LLC disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. James E. Thomas, Peter H. McNerney, Alex Zisson, Pratik Shah and Eric Aguiar are the managers of TMP II LLC. Accordingly they may be deemed to share beneficial ownership of such shares, although each of them disclaims beneficial ownership of such shares except to the extent of their pecuniary interest therein. These securities are owned of record by TMP Nominee II, LLC ("TMP Nominee II"). The managers of TMP Nominee II having shared voting and dispositive power over these securities are James E. Thomas and Peter H. McNerney, each of which disclaims beneficial ownership of such securities except to the extent of their pecuniary interest therein. These securities are owned of record by TMP Associates II, L.P. ("TMP Associates II"). TMP II LLC is the general partner of TMP Associates II and has shared voting and dispositive power of the securities held by TMP Associates II, but TMP II LLC disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein. James E. Thomas, Peter H. McNerney, Alex Zisson, Pratik Shah and Eric Aguiar are the managers of TMP II LLC. Accordingly they may be deemed to share beneficial ownership of such shares, although each of them disclaims beneficial ownership of such shares except to the extent of their pecuniary interest therein. 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. Because of the limitations on the number of line-item holdings that can be filed on any one Form 4 through the SEC's EDGAR system, the reporting persons have filed two (2) Form 4's with respect to Zogenix, Inc. on the date hereof, which, taken together, constitute one Form 4. The Reporting Person named in Box 1 of these two Form 4's is Thomas, McNerney & Partners, L.P. This Form 4 is filed as Part 2 of 2 parts. /s/ James E. Thomas, Manager of Thomas, McNerney & Partners, LLC, the general partner of Thomas, McNerney & Partners, L.P. 2010-11-29 /s/ James E. Thomas, Manager of Thomas, McNerney & Partners, LLC 2010-11-29 /s/ James E. Thomas, Manager of TMP Nominee, LLC 2010-11-29 /s/ James E. Thomas, Manager of Thomas, McNerney & Partners, LLC, the general partner of TMP Associates, L.P. 2010-11-29 /s/ James E. Thomas, Manager of Thomas, McNerney & Partners II, LLC, the general partner of Thomas, McNerney & Partners II, L.P. 2010-11-29 /s/ James E. Thomas, Manager of Thomas, McNerney & Partners II, LLC 2010-11-29 /s/ James E. Thomas, Manager of TMP Nominee II, LLC 2010-11-29 /s/ James E. Thomas, Manager of Thomas, McNerney & Partners II, LLC, the general partner of TMP Associates II, L.P. 2010-11-29 /s/ James E. Thomas 2010-11-29 /s/ Peter H. McNerney 2010-11-29 -----END PRIVACY-ENHANCED MESSAGE-----