3x5 special opportunity fund lp - direct investment history in Zs pharma inc

Filed on 2014-12-17 by 3x5 Special Opportunity Fund, L.P. SEC CIK 1529594 Form 4

Accession 0001529594-14-000006.txt Sec File: edgar/data/1529594/0001529594-14-000006-index.htm

2014-12-15 3x5 Special Opportunity Fund Lp (CIK 1529594) through Direct

Invested in Zs Pharma Inc sold 79444 shares at $47.094 remaining shares owned 123247

Common Stock Zs Pharma Inc Zsph Transaction code: S Open market or private sale of securities

f2 consists of (a) 62,475 shares sold by rivervest venture fund ii, l.p. and (b) 16,969 shares sold by rivervest venture fund ii (ohio), l.p. the price reported in column 4 is a weighted average price. these shares were sold in multiple transactions at prices ranging from $47.00 to $47.75, inclusive. the reporting person undertakes to provide to any security holder of zs pharma, inc. or the staff of the securities and exchange commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this form 4.
f3 john p. mckearn, ph.d. is an authorized person and thomas melzer and jay schmelter are members of rivervest 3x5 special opportunity managers, llc. rivervest 3x5 special opportunity managers, llc is a member of 3x5 special opportunity partners, llc. 3x5 special opportunity partners, llc is the general partner of 3x5 special opportunity fund, l.p. as an authorized person or member, as the case may be, of rivervest 3x5 special opportunity managers, llc, dr. mckearn, messrs. melzer and schmelter may be deemed to share dispositive voting and investment power with respect to the shares held by such entities. dr. mckearn, messrs. melzer and schmelter each disclaim beneficial ownership of such shares except to the extent of his pecuniary interest therein.


Filed on 2014-12-17 by 3x5 Special Opportunity Fund, L.P. SEC CIK 1529594 Form 4

Accession 0001529594-14-000006.txt Sec File: edgar/data/1529594/0001529594-14-000006-index.htm

2014-12-15 3x5 Special Opportunity Fund Lp (CIK 1529594) through Direct

Invested in Zs Pharma Inc sold 365354 shares at $0 remaining shares owned 1621938

Common Stock Zs Pharma Inc Zsph Transaction code: J Other acquisition or disposition (transaction described in footnotes)

f1 reflects a pro rata distribution by 3x5 special opportunity fund, l.p. to its partners. as part of such distribution, an additional 6,489 was distributed by 3x5 special opportunity fund, l.p. to its general partner, 3x5 special opportunity partners, llc. see footnote 3.
f3 john p. mckearn, ph.d. is an authorized person and thomas melzer and jay schmelter are members of rivervest 3x5 special opportunity managers, llc. rivervest 3x5 special opportunity managers, llc is a member of 3x5 special opportunity partners, llc. 3x5 special opportunity partners, llc is the general partner of 3x5 special opportunity fund, l.p. as an authorized person or member, as the case may be, of rivervest 3x5 special opportunity managers, llc, dr. mckearn, messrs. melzer and schmelter may be deemed to share dispositive voting and investment power with respect to the shares held by such entities. dr. mckearn, messrs. melzer and schmelter each disclaim beneficial ownership of such shares except to the extent of his pecuniary interest therein.


Filed on 2014-06-24 by 3x5 Special Opportunity Fund, L.P. SEC CIK 1529594 Form 4

Accession 0001529594-14-000005.txt Sec File: edgar/data/1529594/0001529594-14-000005-index.htm

2014-06-23 3x5 Special Opportunity Fund Lp (CIK 1529594) through Direct

Invested in Zs Pharma Inc sold 202691 shares at $0 remaining shares owned 0

Series D Preferred Stock 0001 Par Value Per Share Zs Pharma Inc Zsph underlying security shares 202691 underlying security title Common Stock

f3 consists of (a) 172,097 shares held directly by 3x5 special opportunity fund, l.p., (b) 24,060 shares held by rivervest venture fund ii, l.p. and (c) 6,534 shares held by rivervest venture fund ii (ohio), l.p.
f4 john p. mckearn, ph.d. is an authorized person and thomas melzer and jay schmelter are members of rivervest 3x5 special opportunity managers, llc. rivervest 3x5 special opportunity managers, llc is a member of 3x5 special opportunity partners, llc. 3x5 special opportunity partners, llc is the general partner of 3x5 special opportunity fund, l.p. as an authorized person or member, as the case may be, of rivervest 3x5 special opportunity managers, llc, dr. mckearn, messrs. melzer and schmelter may be deemed to share dispositive voting and investment power with respect to the shares held by such entities. dr. mckearn, messrs. melzer and schmelter each disclaim beneficial ownership of such shares except to the extent of his pecuniary interest therein.
f5 john p. mckearn, ph.d. is an authorized person and thomas melzer and jay schmelter are members of rivervest venture partners ii, llc, the general partner of rivervest venture partners ii, l.p. rivervest venture partners ii, l.p. is the sole member of rivervest venture partners ii (ohio), llc, the general partner of rivervest venture fund ii (ohio), l.p. rivervest venture partners ii, l.p. is also the general partner of rivervest venture fund ii, l.p. as an authorized person or member, as the case may be, of rivervest venture partners ii, llc, dr. mckearn, messrs. melzer and schmelter may be deemed to share dispositive voting and investment power with respect to the shares held by such entities. dr. mckearn, messrs. melzer and schmelter disclaim beneficial ownership of such shares except to the extent of his pecuniary interest therein.
f1 this class of preferred stock (i) converted on a 1-for-1 basis automatically upon the closing of the issuer's initial public offering and (ii) had no expiration date.


Filed on 2014-06-24 by 3x5 Special Opportunity Fund, L.P. SEC CIK 1529594 Form 4

Accession 0001529594-14-000005.txt Sec File: edgar/data/1529594/0001529594-14-000005-index.htm

2014-06-23 3x5 Special Opportunity Fund Lp (CIK 1529594) through Direct

Invested in Zs Pharma Inc sold 1987292 shares at $0 remaining shares owned 0

Series C Preferred Stock 0001 Par Value Per Share Zs Pharma Inc Zsph underlying security shares 1987292 underlying security title Common Stock

f2 consists of (a) 1,687,324 shares held directly by 3x5 special opportunity fund, l.p., (b) 235,895 shares held by rivervest venture fund ii, l.p. and (c) 64,073 shares held by rivervest venture fund ii (ohio), l.p.
f4 john p. mckearn, ph.d. is an authorized person and thomas melzer and jay schmelter are members of rivervest 3x5 special opportunity managers, llc. rivervest 3x5 special opportunity managers, llc is a member of 3x5 special opportunity partners, llc. 3x5 special opportunity partners, llc is the general partner of 3x5 special opportunity fund, l.p. as an authorized person or member, as the case may be, of rivervest 3x5 special opportunity managers, llc, dr. mckearn, messrs. melzer and schmelter may be deemed to share dispositive voting and investment power with respect to the shares held by such entities. dr. mckearn, messrs. melzer and schmelter each disclaim beneficial ownership of such shares except to the extent of his pecuniary interest therein.
f5 john p. mckearn, ph.d. is an authorized person and thomas melzer and jay schmelter are members of rivervest venture partners ii, llc, the general partner of rivervest venture partners ii, l.p. rivervest venture partners ii, l.p. is the sole member of rivervest venture partners ii (ohio), llc, the general partner of rivervest venture fund ii (ohio), l.p. rivervest venture partners ii, l.p. is also the general partner of rivervest venture fund ii, l.p. as an authorized person or member, as the case may be, of rivervest venture partners ii, llc, dr. mckearn, messrs. melzer and schmelter may be deemed to share dispositive voting and investment power with respect to the shares held by such entities. dr. mckearn, messrs. melzer and schmelter disclaim beneficial ownership of such shares except to the extent of his pecuniary interest therein.
f1 this class of preferred stock (i) converted on a 1-for-1 basis automatically upon the closing of the issuer's initial public offering and (ii) had no expiration date.


Filed on 2014-06-24 by 3x5 Special Opportunity Fund, L.P. SEC CIK 1529594 Form 4

Accession 0001529594-14-000005.txt Sec File: edgar/data/1529594/0001529594-14-000005-index.htm

2014-06-23 3x5 Special Opportunity Fund Lp (CIK 1529594) through Direct

Invested in Zs Pharma Inc bought 202691 shares remaining shares owned 202691

Common Stock Zs Pharma Inc Zsph Transaction code: C Conversion of derivative security (usually options)

f3 consists of (a) 172,097 shares held directly by 3x5 special opportunity fund, l.p., (b) 24,060 shares held by rivervest venture fund ii, l.p. and (c) 6,534 shares held by rivervest venture fund ii (ohio), l.p.
f4 john p. mckearn, ph.d. is an authorized person and thomas melzer and jay schmelter are members of rivervest 3x5 special opportunity managers, llc. rivervest 3x5 special opportunity managers, llc is a member of 3x5 special opportunity partners, llc. 3x5 special opportunity partners, llc is the general partner of 3x5 special opportunity fund, l.p. as an authorized person or member, as the case may be, of rivervest 3x5 special opportunity managers, llc, dr. mckearn, messrs. melzer and schmelter may be deemed to share dispositive voting and investment power with respect to the shares held by such entities. dr. mckearn, messrs. melzer and schmelter each disclaim beneficial ownership of such shares except to the extent of his pecuniary interest therein.
f5 john p. mckearn, ph.d. is an authorized person and thomas melzer and jay schmelter are members of rivervest venture partners ii, llc, the general partner of rivervest venture partners ii, l.p. rivervest venture partners ii, l.p. is the sole member of rivervest venture partners ii (ohio), llc, the general partner of rivervest venture fund ii (ohio), l.p. rivervest venture partners ii, l.p. is also the general partner of rivervest venture fund ii, l.p. as an authorized person or member, as the case may be, of rivervest venture partners ii, llc, dr. mckearn, messrs. melzer and schmelter may be deemed to share dispositive voting and investment power with respect to the shares held by such entities. dr. mckearn, messrs. melzer and schmelter disclaim beneficial ownership of such shares except to the extent of his pecuniary interest therein.
f1 this class of preferred stock (i) converted on a 1-for-1 basis automatically upon the closing of the issuer's initial public offering and (ii) had no expiration date.


Filed on 2014-06-24 by 3x5 Special Opportunity Fund, L.P. SEC CIK 1529594 Form 4

Accession 0001529594-14-000005.txt Sec File: edgar/data/1529594/0001529594-14-000005-index.htm

2014-06-23 3x5 Special Opportunity Fund Lp (CIK 1529594) through Direct

Invested in Zs Pharma Inc bought 1987292 shares remaining shares owned 1987292

Common Stock Zs Pharma Inc Zsph Transaction code: C Conversion of derivative security (usually options)

f2 consists of (a) 1,687,324 shares held directly by 3x5 special opportunity fund, l.p., (b) 235,895 shares held by rivervest venture fund ii, l.p. and (c) 64,073 shares held by rivervest venture fund ii (ohio), l.p.
f4 john p. mckearn, ph.d. is an authorized person and thomas melzer and jay schmelter are members of rivervest 3x5 special opportunity managers, llc. rivervest 3x5 special opportunity managers, llc is a member of 3x5 special opportunity partners, llc. 3x5 special opportunity partners, llc is the general partner of 3x5 special opportunity fund, l.p. as an authorized person or member, as the case may be, of rivervest 3x5 special opportunity managers, llc, dr. mckearn, messrs. melzer and schmelter may be deemed to share dispositive voting and investment power with respect to the shares held by such entities. dr. mckearn, messrs. melzer and schmelter each disclaim beneficial ownership of such shares except to the extent of his pecuniary interest therein.
f5 john p. mckearn, ph.d. is an authorized person and thomas melzer and jay schmelter are members of rivervest venture partners ii, llc, the general partner of rivervest venture partners ii, l.p. rivervest venture partners ii, l.p. is the sole member of rivervest venture partners ii (ohio), llc, the general partner of rivervest venture fund ii (ohio), l.p. rivervest venture partners ii, l.p. is also the general partner of rivervest venture fund ii, l.p. as an authorized person or member, as the case may be, of rivervest venture partners ii, llc, dr. mckearn, messrs. melzer and schmelter may be deemed to share dispositive voting and investment power with respect to the shares held by such entities. dr. mckearn, messrs. melzer and schmelter disclaim beneficial ownership of such shares except to the extent of his pecuniary interest therein.
f1 this class of preferred stock (i) converted on a 1-for-1 basis automatically upon the closing of the issuer's initial public offering and (ii) had no expiration date.