Form Type: 4

SEC EDGAR Link
Accession Number:0001209191-16-138822
Date:2016-08-24
Issuer: ZOSANO PHARMA CORP (ZSAN)
Original Submission Date:

Reporting Person:

BARRETT M JAMES
1954 GREENSPRING DRIVE
SUITE 600 TIMONIUM, MD 21093

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2016-08-24 S 1,200 d $1.21 2,120,276 indirect f1
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
Footnotes
IDfootnote
f1 the securities are directly held by new enterprise associates 12, limited partnership ("nea 12") and indirectly held by nea partners 12, limited partnership ("nea partners 12"), the sole general partner of nea 12, nea 12 gp, llc ("nea 12 gp"), the sole general partner of nea partners 12, and the individual managers of nea 12 gp (nea partners 12, nea 12 gp and the individual managers of nea 12 gp together, the "nea 12 indirect reporting persons"). the individual managers of nea 12 gp are m. james barrett, peter j. barris, forest baskett, patrick j. kerins, krishna "kittu" kolluri, and scott d. sandell. the nea 12 indirect reporting persons disclaim beneficial ownership within the meaning of section 16 of the securities exchange act of 1934, as amended, or otherwise of such portion of the nea 12 shares in which the nea 12 indirect reporting persons have no pecuniary interest.
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