Close

Form 3 ELMS STEVE For: Mar 29 Filed by: Zosano Pharma Corp

FREE Breaking News Alerts from StreetInsider.com!

E-mail Address

StreetInsider.com Top Tickers, 4/24/2024

1. TSLA
2. ENPH
3. TXN
4. SPOT
5. V
6. BA
7. KMB
8. MSFT
9. GM
10. FI


April 9, 2018 4:54 PM EDT
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0104
Expires: December 31, 2014
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person *
Aisling Capital IV, LP
(Last) (First) (Middle)
888 SEVENTH AVENUE, 12TH FLOOR
(Street)
NEW YORK NY 10106
(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
03/29/2018 		3. Issuer Name and Ticker or Trading Symbol
Zosano Pharma Corp [ ZSAN ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock, par value of $0.0001 1,600,000
D (1)
 
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. The securities are directly held by Aisling Capital IV, LP ("Aisling"), and may be deemed to be beneficially owned by Aisling Capital Partners IV, LP ("Aisling GP"), as general partner of Aisling, Aisling Capital Partners IV LLC ("Aisling Partners"), as general partner of Aisling GP, and each of the individual managing members and partners (collectively, the "Managers") of Aisling GP and Aisling Partners. The Managers of Aisling Partners are Dr. Andrew Schiff and Steve Elms.
See Signatures on Exhibit 99.1 04/09/2018
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
EXHIBIT 99.1

FORM 3 JOINT FILER INFORMATION
 
Names of Joint Filers:
 
Aisling Capital IV, LP
Steve Elms
Andrew N. Schiff, M.D.
 
Address of Joint Filers:
c/o Aisling Capital Management LP
888 Seventh Avenue, 12th Floor
New York, NY 10106
 
Designated Filer: Aisling Capital IV, LP
Issuer and Ticker Symbol: Zosano Pharma Corporation [ZSAN]
Date of Event: March 29, 2018
Signatures of Joint Filers:

AISLING CAPITAL IV, LP
   
By:
Aisling Capital Partners IV, LP
 
General Partner
   
By:
Aisling Capital Partners IV LLC
 
General Partner
   
By:
/s/ Andrew Schiff
 
Name: Andrew Schiff
 
Title: Managing Member
   
 
/s/ Steve Elms
Steve Elms
 
/s/ Andrew Schiff
Andrew Schiff

 


Serious News for Serious Traders! Try StreetInsider.com Premium Free!

You May Also Be Interested In





Related Categories

SEC Filings