-----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, E1B445MZusIY76ePInmkum+6uNf2puPTyMHPB9FwztIGej/6Zb+I+9YCm/ztNlkD /uAAtG/pQmOVaWApnEgOWg== 0001209191-10-056440.txt : 20101122 0001209191-10-056440.hdr.sgml : 20101122 20101122193502 ACCESSION NUMBER: 0001209191-10-056440 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101122 FILED AS OF DATE: 20101122 DATE AS OF CHANGE: 20101122 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MITCHELL KATE CENTRAL INDEX KEY: 0001266275 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 101210022 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 101210021 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 101210020 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 101210023 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 101210025 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: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 101210024 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 3 1 doc3.xml FORM 3 SUBMISSION X0203 3 2010-11-22 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 Series A-1 Convertible Preferred Stock Common Stock 1400000 D Series B Convertible Preferred Stock Common Stock 831901 D Warrant to Purchase Series B Preferred Stock 1.10 2009-02-27 2016-02-27 Series B Preferred Stock 226710 D Warrant to Purchase Series B Preferred Stock 1.10 2009-05-15 2016-05-15 Series B Preferred Stock 127782 D Warrant to Purchase Series B Preferred Stock 1.10 2009-06-15 2016-06-15 Series B Preferred Stock 127782 D Warrant to Purchase Series B Preferred Stock 1.10 2009-07-15 2016-07-15 Series B Preferred Stock 127782 D Warrant to Purchase Series B Preferred Stock 1.10 2010-10-07 2016-12-02 Series B Preferred Stock 528235 D These securities are preferred stock of the Issuer and do not have an expiration date. The securities are convertible at any time at the election of the holder and will automatically convert into shares of common stock in connection with the Issuer's initial public offering. Each share of Series A Convertible Stock is convertible into 0.1 shares of common stock. The securities are held 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 interst therein. Each share of Series B Convertible Stock is convertible into 0.1 shares of common stock. These warrants shall terminate unless exercised prior to the closing of the Issuer's initial public offering or the occurence of other specified corporate transactions. This warrant shall terminate and expire unless exercised prior to an initial public offering of the Issuer's common stock with a specified price per share that occurs on or before December 31, 2010, or upon the occurence of other specified corporate transactions. By: Scale Venture Management II, LLC, its General Partner, by: Louis Bock, Managing Member, /s/ Louis Bock 2010-11-22 By: Louis Bock, Managing Member, /s/ Louis C. Bock 2010-11-22 /s/ Mark Brooks 2010-11-22 /s/ Kate Mitchell 2010-11-22 /s/ Rory O'Driscoll 2010-11-22 /s/ Sharon Wienbar 2010-11-22 -----END PRIVACY-ENHANCED MESSAGE-----