ZSAN / Zosano Pharma Corp - تصريحات هيئة الأوراق المالية والبورصات، التقرير السنوي، بيان الوكيل

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 2, 2022 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commission

Zosano Pharma Files Voluntary Petition for Relief Under Chapter 11

Exhibit 99.1 Zosano Pharma Files Voluntary Petition for Relief Under Chapter 11 FREMONT, Calif., June 2, 2022 ? Zosano Pharma Corporation (NASDAQ:ZSAN), a clinical-stage biopharmaceutical company, today announced that on June 1, 2022 it filed a voluntary petition for relief under chapter 11 of title 11 (?Chapter 11?) of the United States Bankruptcy Code (the ?Bankruptcy Code?) in the United States

Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Other Events, Bankruptcy or Receivership

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 26, 2022 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commission

Trinity Capital Inc. Pay-Off Letter dated May 20, 2022

Exhibit 10.1 May 20, 2022 Steve Lo Chief Executive Officer Zosano Pharma Corporation 34790 Ardentech Court Fremont, CA 94555 Dear Mr. Lo: We refer to the Master Lease Agreement dated as of September 25, 2018 (as the same may from time to time have been amended, restated, or otherwise modified, the ?Lease Agreements?) by and between Trinity Capital Funding III, L.P. as predecessor in interest to Tr

ZSAN / Zosano Pharma Corp / Five Narrow Lane LP - SCHEDULE 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) ZOSANO PHARMA CORPORATION (Name of Issuer) COMMON STOCK, $0.0001 PAR VALUE PER SHARE (Title of Class of Securities) 98979H301 (CUSIP Number) May 11, 2022 (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) Check the appropriate box to designate the rul

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 16, 2022 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commission

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 10, 2022 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commission

between Zosano Pharma Corporation and Harro Hofliger Packaging Systems

Exhibit 10.6

Zosano Pharma Reports First Quarter 2022 Financial Results

Zosano Pharma Reports First Quarter 2022 Financial Results FREMONT, Calif., May 13, 2022 - Zosano Pharma Corporation (NASDAQ:ZSAN), a clinical-stage biopharmaceutical company, today announced financial results for the first quarter ended March 31, 2022. All share and per share information included in these financial results and statements has been retroactively adjusted to give effect to our April

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 00

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 3, 2022 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commission F

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1)

Table of Contents Index to Financial Statements UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 29, 2022 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commissio

Zosano Pharma Corporation Retention Bonus Plan

Exhibit 10.44 ZOSANO PHARMA CORPORATION RETENTION BONUS PLAN 1.Purpose. This Zosano Pharma Corporation Retention Bonus Plan (the ?Plan?) has been adopted, effective as of the Effective Date (as defined below), to create an incentive for its Key Employees (defined below) to continue their employment with the Company by granting retention bonuses. Any capitalized terms not defined in the text hereof

Zosano Pharma Provides Corporate Update

Exhibit 99.1 Zosano Pharma Provides Corporate Update FREMONT, Calif., April 29, 2022 ? Zosano Pharma Corporation (NASDAQ:ZSAN), a clinical-stage biopharmaceutical company, today provided a corporate update. On April 14, 2022, the Food and Drug Administration granted Zosano a twelve-month extension to April 20, 2023 to resubmit its M207 New Drug Application. However, in order to preserve its capita

Zosano Pharma Announces Reverse Stock Split Effective Today ZSAN common stock expected to begin trading on a split-adjusted basis on April 12, 2022

Exhibit 99.1 Zosano Pharma Announces Reverse Stock Split Effective Today ZSAN common stock expected to begin trading on a split-adjusted basis on April 12, 2022 FREMONT, Calif., April 11, 2022 (GLOBE NEWSWIRE) ? Zosano Pharma Corporation (NASDAQ:ZSAN), a clinical-stage biopharmaceutical company, today announced that its Board of Directors has approved a 1-for-35 reverse stock split of the company?

Certificate of Amendment of Amended and Restated Certificate of Incorporation of Zosano Pharma Corporation, filed on April 11, 2022 (Reverse Stock Split) (incorporated by reference to Exhibit 3.1 to the registrant’s Current Report on Form 8-K filed with the Commission on April 11, 2022)

Exhibit 3.1 CERTIFICATE OF AMENDMENT TO AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ZOSANO PHARMA CORPORATION Zosano Pharma Corporation (the ?Corporation?), a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware (the ?DGCL?), does hereby certify that: FIRST: The name of this corporation is Zosano Pharma Corporation and the date on

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Material Modification to Rights of Security Holders, Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 8, 2022 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commission

As filed with the Securities and Exchange Commission on April 1, 2022

As filed with the Securities and Exchange Commission on April 1, 2022 Registration No.

Filing Fee Table

Exhibit 107.1 Calculation of Filing Fee Tables Form S-8 (Form Type) Zosano Pharma Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered (1) Proposed Maximum Offering Price Per Share Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common Stock, $0.0

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

Table of Contents Index to Financial Statements UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

Amendment to Manufacturing and Supply Agreement, dated September 25, 2018 with Patheon Manufacturing Services LLC

Exhibit 10.40 [****] Certain information in this document has been excluded pursuant to Regulation S-K, Item 601(b)(10). Such excluded information is not material and would likely cause competitive harm to the registrant if publicly disclosed. cope Part A: Project Overview Executive Summary of the Opportunity Patheon, part of Thermo Fisher Scientific has been contracted by Zosano to produce Zolmit

Form of Zosano Pharma Corporation Performance Stock Unit Award Agreement under the 2014 Plan (incorporated by reference to Exhibit 10.42 to the Registrant’s Annual Report on Form 10-K filed with the SEC on March 17, 2022 (File No. 001-36570)).

Exhibit 10.42 ZOSANO PHARMA CORPORATION AMENDED AND RESTATED 2014 EQUITY AND INCENTIVE PLAN PERFORMANCE STOCK UNIT AWARD GRANT NOTICE Zosano Pharma Corporation, a Delaware corporation, (the ?Company?), pursuant to its Amended and Restated 2014 Equity and Incentive Plan, as amended from time to time (the ?Plan?), hereby grants to the holder listed below (the ?Participant?), an award of performance

Zosano Pharma Reports Fourth Quarter and Fiscal Year 2021 Financial Results

Exhibit 99.1 Zosano Pharma Reports Fourth Quarter and Fiscal Year 2021 Financial Results FREMONT, Calif., March 17, 2022 - Zosano Pharma Corporation (NASDAQ:ZSAN), a clinical-stage biopharmaceutical company, today announced financial results for the fourth quarter and year ended December 31, 2021, as well as business updates. ?We are in discussions with the FDA to determine if there is a viable op

Second Amendment to Lease Documents, dated March 11, 2022, by and between the Company and Trinity Funding 1, LLC

Exhibit 10.43 Execution Version SECOND AMENDMENT TO LEASE DOCUMENTS This Second Amendment to Lease Documents (this ?Second Amendment?) is entered into as of March 11, 2022 (the ?Second Amendment Effective Date?), by and among TRINITY FUNDING 1, LLC, a Delaware limited liability company (as successor in interest to TRINITY CAPITAL FUND III, L.P., a Delaware limited partnership) (?Lessor?), and ZOSA

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 17, 2022 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commissio

Form of Zosano Pharma Corporation Nonstatutory Stock Option Agreement under Zosano Pharma Corporation Amended and Restated 2014 Equity and Incentive Plan

Exhibit 10.41 NONSTATUTORY STOCK OPTION Granted by Zosano Pharma Corporation (the ?Company?) Under the Amended and Restated 2014 Equity and Incentive Plan This option (this ?Option?) is and shall be subject in every respect to the provisions of the Company?s Amended and Restated 2014 Equity and Incentive Plan, as amended from time to time (the ?Plan?), which is incorporated herein by reference and

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defi

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 17, 2022 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commis

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934

DEF 14A 1 zosanopre14a.htm DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as pe

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 8, 2022 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commiss

Underwriting Agreement, dated February 8, 2022, between Zosano Pharma Corporation and Maxim Group LLC (incorporated by reference to Exhibit 1.1 to the registrant's Current Report on Form 8-K filed with the Commission on February 8, 2022)

EX-1.1 2 d484151dex11.htm EX-1.1 Exhibit 1.1 ZOSANO PHARMA CORPORATION 51,250,000 Shares of Common Stock and Series F Warrants to Purchase 51,250,000 Shares of Common Stock (par value $0.0001 per share) Underwriting Agreement February 8, 2022 Maxim Group LLC 300 Park Avenue, 16th Floor New York, NY 10022 Ladies and Gentlemen: Zosano Pharma Corporation, a Delaware corporation (the “Company”), propo

51,250,000 Units Each Consisting of One Share of Common Stock and One Series F Warrant to Purchase One Share of Common Stock Zosano Pharma Corporation

424B5 1 d305522d424b5.htm 424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration Statement No. 333-257682 Prospectus Supplement (To Prospectus dated July 14, 2021) 51,250,000 Units Each Consisting of One Share of Common Stock and One Series F Warrant to Purchase One Share of Common Stock Zosano Pharma Corporation We are offering 51,250,000 Units, with each Unit consisting of one sha

Form of Voting Agreement (incorporated by reference to Exhibit 10.2 to the registrant's Current Report on Form 8-K filed with the Commission on February 9, 2022)

Exhibit 10.2 VOTING AGREEMENT This Voting Agreement (this ?Voting Agreement?), dated February 8, 2022, is being delivered to you in connection with an understanding by and between Zosano Pharma Corporation, a Delaware corporation (the ?Company?), and the person or persons named on the signature pages hereto. Reference is hereby made to the public offering (the ?Offering?) of units (the ?Units?), e

.1 to the registrant's Current Report on Form 8-K filed with the Commission on February 9, 2022)

Exhibit 10.1 ZOSANO PHARMA CORPORATION and COMPUTERSHARE, INC. AND COMPUTERSHARE TRUST COMPANY, N.A., as Warrant Agent Warrant Agency Agreement Dated as of February 10, 2022 WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT, dated as of February 10, 2022 (?Agreement?), between ZOSANO PHARMA CORPORATION, a Delaware corporation (the ?Company?), and COMPUTERSHARE, INC., a Delaware corporation (?Compu

Form of Series F Common Stock Purchase Warrant. (incorporated by reference to Exhibit 4.1 to the registrant's Current Report on Form 8-K filed with the Commission on February 9, 2022)

Exhibit 4.1 SERIES F COMMON STOCK PURCHASE WARRANT ZOSANO PHARMA CORPORATION Certificate No. CUSIP No.: Warrant Shares: Initial Exercise Date: February 10, 2022 THIS SERIES F COMMON STOCK PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth,

Subject to Completion, dated February 8, 2022

Table of Contents Filed Pursuant to Rule 424(b)(5) Registration Statement No. 333-257682 The information in this preliminary prospectus supplement and the accompanying base prospectus is not complete and may be changed. A registration statement relating to these securities has been declared effective under the Securities Act of 1933, as amended. This preliminary prospectus supplement and the accom

Copyright © 2022 Zosano Pharma Corporation Corporate Presentation January 2022 1 Exhibit 99.1 Copyright © 2022 Zosano Pharma Corporation Disclaimer 2 This presentation contains forward-looking statements regarding the benefits and potential uses of Z

Copyright ? 2022 Zosano Pharma Corporation Corporate Presentation January 2022 1 Exhibit 99.

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 28, 2022 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commiss

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 18, 2022 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commiss

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 5, 2022 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commissi

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 7, 2021 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commiss

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 30, 2021 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commis

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 17, 2021 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commis

Zosano Pharma Announces the Successful Formulation of a COVID-19 Vaccine Candidate on its Microneedle Patch System

Zosano Pharma Announces the Successful Formulation of a COVID-19 Vaccine Candidate on its Microneedle Patch System FREMONT, Calif.

Zosano Pharma Reports Third Quarter 2021 Financial Results

Exhibit 99.1 Zosano Pharma Reports Third Quarter 2021 Financial Results FREMONT, Calif., November 10, 2021 - Zosano Pharma Corporation (NASDAQ:ZSAN), a clinical-stage biopharmaceutical company, today announced financial results for the third quarter ended September 30, 2021, as well as business highlights. ?This quarter we made significant progress towards the resubmission of the NDA for M207 with

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 10, 2021 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commis

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 25, 2021 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commiss

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 5, 2021 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commissi

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 28, 2021 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commi

Zosano Pharma Granted Type C Meeting with FDA Regarding NDA Resubmission for M207 Following Preliminary Top-Line Pharmacokinetic Study Results

Exhibit 99.1 Zosano Pharma Granted Type C Meeting with FDA Regarding NDA Resubmission for M207 Following Preliminary Top-Line Pharmacokinetic Study Results FREMONT, Calif., October 4, 2021 ? Zosano Pharma Corporation (NASDAQ:ZSAN), a clinical-stage biopharmaceutical company, today announced the company has been granted a Type C written response only meeting with the U.S. Food and Drug Administrati

Amendment No. 1 to Master Services Agreement, effective as of September 29, 2021, by and between Zosano Pharma Corporations and Eversana Life Science Services, LLC (incorporated by reference to Exhibit 10.1 to the registrant's Current Report on Form 8-K filed with the Commission on October 4, 2021)

Exhibit 10.1 AMENDMENT NO. 1 TO MASTER SERVICES AGREEMENT THIS AMENDEMENT NO. 1 TO MASTER SERVICES AGREEMENT (this ?Amendment?) is entered into as of September 29, 2021 (the ?Amendment Effective Date?), by and between ZOSANO PHARMA CORPORATION, with its principal offices located at 34790 Ardentech Court, Fremont, California 94555 (?Zosano?) and EVERSANA LIFE SCIENCES SERVICES, LLC, a Wisconsin lim

Amended and Restated Bylaws of Zosano Pharma Corporation (incorporated by reference to Exhibit 3.2 to the registrant's Quarterly Report on Form 10-Q filed with the Commission on August 10, 2021)

Exhibit 3.2 AMENDED AND RESTATED BYLAWS OF ZOSANO PHARMA CORPORATION (A DELAWARE CORPORATION) (Adopted June 17, 2021) |US-DOCS\124591274.2|| Exhibit 3.2 AMENDED AND RESTATED BYLAWS OF ZOSANO PHARMA CORPORATION (A DELAWARE CORPORATION) ARTICLE I OFFICES Section 1. Registered Office. The registered office of the corporation in the State of Delaware shall be in the City of Wilmington, County of New C

Consulting Agreement, dated as of June 10, 2021 by and between Zosano Pharma Corporation and John Walker (incorporated by reference to Exhibit 10.2 to the registrant's Quarterly Report on Form 10-Q filed with the Commission on August 10, 2021)

Agreement # HR20 - 6 - US-DOCS\123970999.5 CONSULTING AGREEMENT THIS CONSULTING AGREEMENT (the ?Agreement?) is made and entered into as of June 10, 2021 (the ?Effective Date?), by and between ZOSANO PHARMA CORPORATION, a Delaware corporation (the ?Company?), having its principal place of business at 34790 Ardentech Court, Fremont, California 94555 and John Walker (the ?Consultant?). The Company an

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 10, 2021 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commissi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001

Zosano Pharma Reports Second Quarter 2021 Financial Results

Exhibit 99.1 Zosano Pharma Reports Second Quarter 2021 Financial Results FREMONT, Calif., August 10, 2021 - Zosano Pharma Corporation (NASDAQ:ZSAN), a clinical-stage biopharmaceutical company, today announced financial results for the second quarter ended June 30, 2021, as well as business highlights. ?We are pleased to have initiated the healthy volunteer pharmacokinetic study that was requested

Zosano Pharma Corporation 34790 Ardentech Court Fremont, CA 94555

Zosano Pharma Corporation 34790 Ardentech Court Fremont, CA 94555 July 12, 2021 VIA EDGAR U.

Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 30, 2021 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commission

As filed with the Securities and Exchange Commission on July 2, 2021

S-3 1 d167876ds3.htm S-3 Table of Contents As filed with the Securities and Exchange Commission on July 2, 2021 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Zosano Pharma Corporation (Exact name of registrant as specified in its charter) Delaware 45-4488360 (State or other jurisdiction

Form of Indenture.

Exhibit 4.6 Zosano Pharma Corporation INDENTURE Dated as of , 20 [ ] Trustee TABLE OF CONTENTS Page ARTICLE I. DEFINITIONS AND INCORPORATION BY REFERENCE 1 Section 1.1. Definitions 1 Section 1.2. Other Definitions 4 Section 1.3. Incorporation by Reference of Trust Indenture Act 4 Section 1.4. Rules of Construction 5 ARTICLE II. THE SECURITIES 5 Section 2.1. Issuable in Series 5 Section 2.2. Establ

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 28, 2021 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commission

Sales Agreement, dated as of June 28, 2021, by and among Zosano Pharma Corporation and Cantor Fitzgerald & Co. and H.C. Wainwright & Co., LLC (incorporated by reference to Exhibit 10.1 to the registrant's Current Report on Form 8-K filed with the Commission on June 28, 2021)

Exhibit 10.1 Zosano Pharma Corporation Shares of Common Stock (par value $0.0001 per share) Controlled Equity OfferingSM Sales Agreement June 28, 2021 Cantor Fitzgerald & Co. 499 Park Avenue New York, NY 10022 and H.C. Wainwright & Co., LLC 430 Park Avenue New York, New York 10022 Ladies and Gentlemen: Zosano Pharma Corporation, a Delaware corporation (the ?Company?), confirms its agreement (this

Up to $30,000,000 of Shares Zosano Pharma Corporation Common Stock

Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-237187 PROSPECTUS SUPPLEMENT (To Prospectus dated April 16, 2020) Up to $30,000,000 of Shares Zosano Pharma Corporation Common Stock We have entered into a Controlled Equity OfferingSM sales agreement with Cantor Fitzgerald & Co., or Cantor, and H.C. Wainwright & Co., LLC, or Wainwright, and together, the sales agents, relatin

Regulation FD Disclosure, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 17, 2021 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commission

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin

Amended and Restated Bylaws of Zosano Pharma Corporation.

Exhibit 3.1 AMENDED AND RESTATED BYLAWS OF ZOSANO PHARMA CORPORATION (A DELAWARE CORPORATION) (Adopted June 17, 2021) AMENDED AND RESTATED BYLAWS OF ZOSANO PHARMA CORPORATION (A DELAWARE CORPORATION) ARTICLE I OFFICES Section 1. Registered Office. The registered office of the corporation in the State of Delaware shall be in the City of Wilmington, County of New Castle. Section 2. Other Offices. Th

Regulation FD Disclosure

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 10, 2021 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commission

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 1, 2021 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commission

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 24, 2021 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commission

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 00

Zosano Pharma Reports First Quarter 2021 Financial Results

Zosano Pharma Reports First Quarter 2021 Financial Results FREMONT, Calif., May 12, 2021 - Zosano Pharma Corporation (NASDAQ:ZSAN), a clinical-stage biopharmaceutical company, today announced financial results for the first quarter ended March 31, 2021, as well as business highlights. ?We have gained clarity from the FDA on the resubmission plan for the QtryptaTM NDA, and the full weight of our or

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 12, 2021 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commission

Schedule 14A

DEF 14A 1 proxy2021.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permit

- DEFA14A

DEFA14A 1 proxy-noticeandaccess.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Onl

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 26, 2021 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commissio

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 12, 2021 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commissio

Form of Zosano Pharma Corporation Nonstatutory Stock Option Award Agreement (incorporated by reference to Exhibit 99.5 to the registrant's Registration Statement on Form S-8 filed with the Commission on March 12, 2021)

Exhibit 99.5 ZOSANO PHARMA CORPORATION NONSTATUTORY STOCK OPTION AWARD AGREEMENT Zosano Pharma Corporation (the ?Company?) hereby grants to [ ] (the ?Holder?) an option (the ?Option?) to purchase a total of [ ] shares of the Company?s common stock, par value $0.0001 per share (the ?Common Stock?), at the price and on the terms set forth in this Zosano Pharma Corporation Nonstatutory Stock Option A

- S-8

S-8 1 d153528ds8.htm S-8 As filed with the Securities and Exchange Commission on March 12, 2021 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ZOSANO PHARMA CORPORATION (Exact name of Registrant as specified in its charter) Delaware 45-4488360 (State or other jurisdiction of incorporatio

Annual Report - 10-K

Table of Contents Index to Financial Statements UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 8, 2021 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation or organizat

Annual Report on Form 10-K filed with the Commission on March 11, 2021)

Zosano Pharma Corporation Non-Employee Director Compensation Program This Zosano Pharma Corporation (the ?Company?) Non-Employee Director Compensation Program (this ?Program?) has been adopted and shall be effective as of March 4, 2021 (the ?Effective Date?).

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 11, 2021 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commissio

Zosano Pharma Reports Fourth Quarter and Fiscal Year 2020 Financial Results

Exhibit 99.1 Zosano Pharma Reports Fourth Quarter and Fiscal Year 2020 Financial Results FREMONT, Calif., March 11, 2021 - Zosano Pharma Corporation (NASDAQ:ZSAN), a clinical-stage biopharmaceutical company, today announced financial results for the fourth quarter and year ended December 31, 2020, as well as business highlights. “Over this past year, we made important progress in advancing Qtrypta

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 4, 2021 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation or organizat

Zosano Pharma Confirms NDA Resubmission Strategy Following Type A Meeting Minutes from FDA

EX-99.1 Exhibit 99.1 Zosano Pharma Confirms NDA Resubmission Strategy Following Type A Meeting Minutes from FDA FREMONT, Calif., February 22, 2021 (GLOBE NEWSWIRE) — Zosano Pharma Corporation (NASDAQ:ZSAN), a clinical-stage biopharmaceutical company, today announced that the company has received the official Type A meeting minutes from the U.S. Food and Drug Administration (“FDA”) Division of Neur

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 22, 2021 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation or organ

Zosano Pharma Announces NDA Resubmission Plans Following Type A Meeting with FDA

EX-99.1 Exhibit 99.1 Zosano Pharma Announces NDA Resubmission Plans Following Type A Meeting with FDA FREMONT, Calif., February 1, 2021 (GLOBE NEWSWIRE) — Zosano Pharma Corporation (NASDAQ:ZSAN), a clinical-stage biopharmaceutical company, today announced that the company completed its Type A meeting with the U.S. Food and Drug Administration (“FDA”) Division of Neurology II (the “Division”) regar

Financial Statements and Exhibits, Other Events - 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 29, 2021 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation or organi

Financial Statements and Exhibits, Other Events - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 6, 2021 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation or organiz

Forward-Looking Statements This presentation contains forward-looking statements regarding Zosano’s technology and product candidates, including QtryptaTM and C213, and other future events and expectations. Readers are urged to consider statements th

EX-99.1 Corporate Presentation January 2021 Exhibit 99.1 Forward-Looking Statements This presentation contains forward-looking statements regarding Zosano’s technology and product candidates, including QtryptaTM and C213, and other future events and expectations. Readers are urged to consider statements that include the words "may," "will," "would," "could," "should," "might," "believes," "estimat

Financial Statements and Exhibits, Other Events - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 30, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation or organ

Zosano Pharma Requests Type A Meeting with the FDA to Review Resubmission Plans for Qtrypta™ New Drug Application

EX-99.1 Exhibit 99.1 Zosano Pharma Requests Type A Meeting with the FDA to Review Resubmission Plans for Qtrypta™ New Drug Application FREMONT, Calif., January 4, 2021 (GLOBE NEWSWIRE) — Zosano Pharma Corporation (NASDAQ:ZSAN), a clinical-stage biopharmaceutical company, today announced that on December 30, 2020 the company requested a Type A meeting with the U.S. Food and Drug Administration (FDA

Master Services Agreement, dated August 6, 2020, by and between the Company and Eversana Life Science Services, LLC (incorporated by reference to Exhibit 10.3 to the registrant’s Quarterly Report on Form 10-Q filed with the Commission on November 13, 2020)

exhibit103eversana-msa [***] Certain information in this document has been excluded pursuant to Regulation S-K, Item 601(b)(10).

Zosano Pharma Reports Third Quarter 2020 Financial Results

Exhibit 99.1 Zosano Pharma Reports Third Quarter 2020 Financial Results FREMONT, Calif., Nov. 13, 2020 (GLOBE NEWSWIRE) - Zosano Pharma Corporation (NASDAQ:ZSAN), a clinical-stage biopharmaceutical company, today announced financial results for the third quarter ended September 30, 2020, as well as recent business updates. “Our priority focus is obtaining resolution regarding the NDA for QtryptaTM

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): NOVEMBER 12, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commis

Quarterly Report - 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe

Other Events - 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 20, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation or organi

Other Events - 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 29, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation or orga

Financial Statements and Exhibits, Other Events - 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 31, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation or organiz

Underwriting Agreement, dated as of August 31, 2020, by and between Zosano Pharma Corporation and BTIG, LLC.

EX-1.1 Exhibit 1.1 EXECUTION VERSION ZOSANO PHARMA CORPORATION 15,937,130 Shares of Common Stock (par value $0.0001 per share) Underwriting Agreement August 31, 2020 BTIG, LLC 600 Montgomery Street 6th Floor San Francisco, CA 94111 Ladies and Gentlemen: Zosano Pharma Corporation, a Delaware corporation (the “Company”), proposes to issue and sell to BTIG, LLC (“BTIG”) an aggregate of 15,937,130 sha

15,937,130 Shares Zosano Pharma Corporation Common Stock

424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration Statement No.

Subject to completion, dated August 31, 2020

424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration Statement No.

Regulation FD Disclosure - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 31, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation or organiz

Other Events - 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 14, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commissi

Entry into a Material Definitive Agreement

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 6, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation or

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 6, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commissio

Form of Zosano Pharma Corporation Restricted Stock Unit Award Agreement

Exhibit 10.3 ZOSANO PHARMA CORPORATION AMENDED AND RESTATED 2014 EQUITY AND INCENTIVE PLAN RESTRICTED STOCK UNIT AWARD GRANT NOTICE Zosano Pharma Corporation, a Delaware corporation, (the “Company”), pursuant to its Amended and Restated 2014 Equity and Incentive Plan, as amended from time to time (the “Plan”), hereby grants to the holder listed below (the “Participant”), an award of restricted sto

Amendment No. 1 to Business Understanding Agreement, dated July 31, 2020, by and between the Company and CSP Technologies, Inc. (incorporated by reference to Exhibit 10.2 to the registrant’s Current Report on Form 8-K filed with the Commission on August 6, 2020)

EX-10.2 Exhibit 10.2 [***] Certain information in this document has been excluded pursuant to Regulation S-K, Item 601(b)(10). Such excluded information is not material and would likely cause competitive harm to the registrant if publicly disclosed. July 31, 2020 AMENDMENT NO. 1 TO BUSINESS UNDERSTANDING AGREEMENT CSP Technologies, Inc. (“CSP”), and Zosano Pharma Corp. (“Zosano”) agree to enter in

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 31, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation or organ

Zosano Pharma Reports Second Quarter 2020 Financial Results and Provides Corporate Update

Exhibit 99.1 Zosano Pharma Reports Second Quarter 2020 Financial Results and Provides Corporate Update FREMONT, Calif., August 6, 2020 - Zosano Pharma Corporation (NASDAQ:ZSAN), a clinical-stage biopharmaceutical company, today announced financial results for the second quarter ended June 30, 2020, as well as recent business highlights. “Zosano is on the cusp of potentially accomplishing what few

Business Understanding Agreement, dated September 13, 2018, by and between the Company and CSP Technologies, Inc. (incorporated by reference to Exhibit 10.1 to the registrant’s Current Report on Form 8-K filed with the Commission on August 6, 2020)

EX-10.1 Exhibit 10.1 [***] Certain information in this document has been excluded pursuant to Regulation S-K, Item 601(b)(10). Such excluded information is not material and would likely cause competitive harm to the registrant if publicly disclosed. September 13, 2018 BUSINESS UNDERSTANDING AGREEMENT CSP Technologies, Inc. (“CSP”), and Zosano Pharma Corp. (“Zosano”) agree to enter into this Busine

Form of Zosano Pharma Corporation Nonstatutory Stock Option Award Agreement

Exhibit 10.2 NONSTATUTORY STOCK OPTION Granted by Zosano Pharma Corporation (the “Company”) Under the Amended and Restated 2014 Equity and Incentive Plan This option (this “Option”) is and shall be subject in every respect to the provisions of the Company’s Amended and Restated 2014 Equity and Incentive Plan, as amended from time to time (the “Plan”), which is incorporated herein by reference and

Corporation Amended and Restated 2014 Equity and Incentive Plan (incorporated by reference to Exhibit 10.1 to the registrant’s Quarterly Report on Form 10-Q filed with the Commission on August 6, 2020)

Exhibit 10.1 INCENTIVE STOCK OPTION Granted by Zosano Pharma Corporation (the “Company”) Under the Amended and Restated 2014 Equity and Incentive Plan This option (this “Option”) is and shall be subject in every respect to the provisions of the Company’s Amended and Restated 2014 Equity and Incentive Plan, as amended from time to time (the “Plan”), which is incorporated herein by reference and mad

Quarterly Report - 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001

Submission of Matters to a Vote of Security Holders

8-K 1 a2020annualshareholdermeet.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 25, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other j

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 13, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commission

- DEFINITIVE ADDITIONAL MATERIALS

Definitive Additional Materials UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

- S-8

S-8 As filed with the Securities and Exchange Commission on June 11, 2020 Registration No.

Up to $20,000,000 of Shares Common Stock

424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-237187 PROSPECTUS SUPPLEMENT (To Prospectus dated April 16, 2020) Up to $20,000,000 of Shares Common Stock We have entered into a sales agreement with BTIG, LLC, or BTIG, relating to shares of our common stock offered by this prospectus supplement and the accompanying prospectus. In accordance with the terms of the sales

Sales Agreement, dated as of June 8, 2020, by and between Zosano Pharma Corporation and BTIG, LLC

EX-10.1 Exhibit 10.1 Execution Version ZOSANO PHARMA CORPORATION UP TO $20,000,000 OF COMMON STOCK (par value $0.0001 per share) AT-THE-MARKET SALES AGREEMENT June 8, 2020 BTIG, LLC 600 Montgomery Street 6th Floor San Francisco, CA 94111 Ladies and Gentlemen: Zosano Pharma Corporation, a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with BTIG, LLC (“BTIG” and, tog

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 8, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation or organi

Schedule 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 27, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation or organi

First Amendment to Lease Documents, dated May 27, 2020, by and between the Company and Trinity Funding 1, LLC (incorporated by reference to Exhibit 10.1 to the registrant's Current Report on Form 8-K filed with the Commission on May 28, 2020)

EX-10.1 Exhibit 10.1 EXECUTION VERSION FIRST AMENDMENT TO LEASE DOCUMENTS This First Amendment to Lease Documents (the “Amendment”) is entered into as of May 27, 2020 (the “Effective Date”), by and among TRINITY FUNDING 1, LLC, a Delaware limited liability company (as successor in interest to TRINITY CAPITAL FUND III, L.P., a Delaware limited partnership) (“Lessor”), and ZOSANO PHARMA CORPORATION.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 14, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commission

Zosano Pharma Reports First Quarter 2020 Financial Results and Provides Corporate Update

EX-99.1 2 q1pressrelease.htm EXHIBIT 99.1 Exhibit 99.1 Zosano Pharma Reports First Quarter 2020 Financial Results and Provides Corporate Update FREMONT, Calif., May 14, 2020 - Zosano Pharma Corporation (NASDAQ:ZSAN), a clinical-stage biopharmaceutical company, today announced financial results for the first quarter ended March 31, 2020, as well as recent business highlights. "This quarter was mark

Quarterly Report - 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 00

Amended Form of Series E Common Stock Purchase Warrant

Exhibit 4.2 SERIES E COMMON STOCK PURCHASE WARRANT ZOSANO PHARMA CORPORATION Warrant Shares: Initial Exercise Date: March 6, 2020 THIS SERIES E COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the dat

Employment Letter Agreement dated April 30, 2020, with Christine Matthews (incorporated by reference to Exhibit 10.1 to the registrant’s Current Report on Form 8-K filed with the Commission on May 1, 2020

EX-10.1 Exhibit 10.1 April 30, 2020 Christine Matthews ***** ***** Dear Christine: This letter will confirm the terms and conditions of your employment with Zosano Pharma Corporation, a Delaware corporation (the “Company”). 1. Position and Duties. Effective May 1, 2020 or such other date mutually agreed in writing between you and the Company (such date when you actually commence employment with th

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 27, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation or orga

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 21, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commissio

Note dated April 21, 2020 (incorporated by reference to Exhibit 10.1 to the registrant’s Current Report on Form 8-K filed with the Commission on April 23, 2020)

Exhibit 10.1 Silicon Valley Bank U.S. Small Business Administration Paycheck Protection Program Note SBA Loan No. ******** SBA Loan Name Borrower Legal Name Zosano Pharma Corporation DBA Date 4/21/2020 Loan Amount $ 1610000 Interest Rate 1.0% per annum Borrower Zosano Pharma Corporation Operating Company Not applicable Lender Silicon Valley Bank 1. PROMISE TO PAY. In return for the Loan, Borrower

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

8-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 26, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of

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CORRESP Zosano Pharma Corporation 34790 Ardentech Court Fremont, CA 94555 April 14, 2020 VIA EDGAR U.

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CORRESP 140 Scott Drive Menlo Park, California 94025 Tel: +1.650.328.4600 Fax: +1.650.463.2600 www.lw.com FIRM / AFFILIATE OFFICES Beijing Moscow Boston Munich Brussels New York Century City Orange County Chicago Paris March 31, 2020 Dubai Riyadh Düsseldorf San Diego Frankfurt San Francisco Hamburg Seoul VIA EDGAR Hong Kong Shanghai Houston Silicon Valley Division of Corporation Finance London Sin

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

8-K 1 nasdaq8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 26, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of in

Form of Indenture.

EX-4.6 Exhibit 4.6 Zosano Pharma Corporation INDENTURE Dated as of , 20 [ ] Trustee TABLE OF CONTENTS Page ARTICLE I. DEFINITIONS AND INCORPORATION BY REFERENCE 1 Section 1.1. Definitions 1 Section 1.2. Other Definitions 4 Section 1.3. Incorporation by Reference of Trust Indenture Act 4 Section 1.4. Rules of Construction 5 ARTICLE II. THE SECURITIES 5 Section 2.1. Issuable in Series 5 Section 2.2.

ZSAN / Zosano Pharma Corporation / ARMISTICE CAPITAL, LLC Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.

ZSAN / Zosano Pharma Corporation S-3 - - S-3

S-3 Table of Contents As filed with the Securities and Exchange Commission on March 13, 2020 Registration No.

Employment Letter Agreement dated December 13, 2018 with Christine Matthews

Exhibit 10.32 Thursday, December 13, 2018 Christine Matthews ** ** Dear Christine, On behalf of Zosano Pharma Corp. (the “Company”), I am pleased to offer you a full-time position with our Company. Your title will be Vice President, Controller, reporting to Greg Kitchener, CFO. This is an exempt position; your annual base salary will be $230,000 which will be paid bi-monthly. In addition, you will

Zosano Pharma Reports Fourth Quarter and Fiscal Year 2019 Financial Results

Exhibit 99.1 Zosano Pharma Reports Fourth Quarter and Fiscal Year 2019 Financial Results FREMONT, Calif.-Mar. 13, 2020- Zosano Pharma Corporation (NASDAQ:ZSAN), a clinical-stage biopharmaceutical company, today announced financial results for the fourth quarter and year ended December 31, 2019, as well as recent business highlights. “2019 was a transformational year for Zosano on multiple fronts,”

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 13, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commissio

Exhibit 4.2

Exhibit 4.2 Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934 The following is a description of the common stock of Zosano Pharma Corporation (“we,” “us,” “our” and the “Company”), which is the only security of the Company registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”). For a complete descri

Form of Zosano Pharma Corporation Incentive Stock Option Award Agreement

Exhibit 10.13(b)# INCENTIVE STOCK OPTION Granted by Zosano Pharma Corporation (the “Company”) Under the Amended and Restated 2014 Equity and Incentive Plan This Option is and shall be subject in every respect to the provisions of the Company's Amended and Restated 2014 Equity and Incentive Plan, as amended from time to time (the “Plan”), which is incorporated herein by reference and made a part he

Form 10-K

Table of Contents Index to Financial Statements UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

Change Order by and between Zosano Pharma Corporation and Harro Hofliger Packaging System (incorporated by reference to Exhibit 10.17 to the registrant's Annual Report of Form 10-K filed with the SEC on March 13, 2020)

exhibithhchangeordera01 Exhibit 10.17 Purchase Order Revision Order Date P11007 0 1/14/2020 Zosano Pharma Corporation Supplier Print Date 34790 Ardentech Court 10230 3/9/2020 Fremont, CA 94555 United States Phone: 510-745-1200 Duplicate Purchase Order Harro Hofliger Packaging Systems Zosano Pharma Corporation 350 S. Main St. 34790 Ardentech Court Suite 315 Fremont, CA 94555 Doylestown, PA 18901 To

nd III, L.P. Equipment Schedule No. 1-5, dated November 27, 2019 (incorporated by reference to Exhibit 10.23 to the registrant's Annual Report on Form 10-K filed with the SEC on March 13, 2020)

Exhibit 10.23 TRINITY CAPITAL FUND III, L.P. EQUIPMENT SCHEDULE NO.1-5 This Equipment Schedule is executed pursuant to that certain Master Lease Agreement dated as of September 25, 2018 (the "Agreement"; which is incorporated herein by reference). This Equipment Schedule, incorporating by reference the terms and conditions of the Agreement, constitutes a separate instrument of lease. Capitalized t

ZSAN / Zosano Pharma Corporation / INTRACOASTAL CAPITAL, LLC - SCHEDULE 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.   )* Zosano Pharma Corporation (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 98979H202 (CUSIP Number) March 4, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the

11,903,506 Shares of Common Stock Warrants to Purchase Up to 11,903,506 Shares of Common Stock Zosano Pharma Corporation

Table of Contents Filed pursuant to Rule 424(b)(5) Registration Statement No. 333-229686 Prospectus Supplement (To Prospectus dated March 27, 2019) 11,903,506 Shares of Common Stock Warrants to Purchase Up to 11,903,506 Shares of Common Stock Zosano Pharma Corporation We are offering 11,903,506 shares of common stock, par value $0.0001 per share, and warrants to purchase one share of common stock

Form of Securities Purchase Agreement, dated as of March 4, 2020, between Zosano Pharma corporation and certain investors (incorporated by reference to Exhibit 10.1 to the Company's Current Report on Form 8-K filed with the Commission on March 6, 2020)

EX-10.1 Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as March 4, 2020, between Zosano Pharma Corporation, a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and cond

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 4, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation or organ

Amended Form of Series E Common Stock Purchase Warrant (incorporated by reference to Exhibit 4.2 to the registrant’s Quarterly Report of Form 10-Q filed with the Commission on May 14, 2020)

EX-4.1 Exhibit 4.1 SERIES E COMMON STOCK PURCHASE WARRANT ZOSANO PHARMA CORPORATION Warrant Shares: Initial Exercise Date: March 6, 2020 THIS SERIES E COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after

Termination of a Material Definitive Agreement

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 4, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation or

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 4, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commission

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

Amendment No. 1 on Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 3, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State o

ZSAN / Zosano Pharma Corporation / ARMISTICE CAPITAL, LLC Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.

ZSAN / Zosano Pharma Corporation / Flint Ridge Capital LLC Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Zosano Pharma Corporation (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) 98979H202 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule p

10,146,154 Class A Units each consisting of one Share of Common Stock and one Series C Warrant and 2,161,539 Class B Units each consisting of one Pre-Funded Series D Warrant and one Series C Warrant (or some combination of Class A Units and Class B U

Table of Contents Filed pursuant to Rule 424(b)(5) Registration Statement No. 333-229686 Prospectus Supplement (To Prospectus dated March 27, 2019) 10,146,154 Class A Units each consisting of one Share of Common Stock and one Series C Warrant and 2,161,539 Class B Units each consisting of one Pre-Funded Series D Warrant and one Series C Warrant (or some combination of Class A Units and Class B Uni

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

8-K 1 d888112d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 12, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction

Form of Series D Warrant.

EX-4.2 Exhibit 4.2 SERIES D PRE-FUNDED COMMON STOCK PURCHASE WARRANT ZOSANO PHARMA CORPORATION Warrant Shares: Initial Exercise Date: February 14, 2020 THIS SERIES D PRE-FUNDED COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth

Form of Series C Common Stock Purchase Warrant (incorporated by reference to Exhibit 4.1 to the registrant’s Current Report on Form 8-K filed with the Commission on February 13, 2020)

EX-4.1 Exhibit 4.1 SERIES C COMMON STOCK PURCHASE WARRANT ZOSANO PHARMA CORPORATION Warrant Shares: Initial Exercise Date: February 14, 2020 THIS SERIES C COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or af

Underwriting Agreement, dated as of February 12, 2020 between Zosano Pharma corporation and H.C. Wainwright & Co., LLC (incorporated by reference to Exhibit 1.1 to the Company's Current Report on Form 8-K filed with the Commission on February 13, 2020)

EX-1.1 Exhibit 1.1 10,146,154 SHARES OF COMMON STOCK, 12,307,693 SERIES C WARRANTS (EXERCISABLE FOR 12,307,693 SHARES), AND 2,161,539 SERIES D WARRANTS (EXERCISABLE FOR 2,161,539 SHARES) ZOSANO PHARMA CORPORATION UNDERWRITING AGREEMENT February 12, 2020 H.C. Wainwright & Co., LLC As the Representative of the Several underwriters, if any, named in Schedule I hereto c/o H.C. Wainwright & Co., LLC 43

ZSAN / Zosano Pharma Corporation / Adage Capital Partners GP LLC - ZOSANO PHARMA CORPORATION Passive Investment

SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Zosano Pharma Corporation (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 98979H202 (CUSIP Number) February 12, 2020 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pur

Results of Operations and Financial Condition

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 11, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation or o

Subject to completion, dated February 11, 2020

Table of Contents Filed pursuant to Rule 424(b)(5) Registration Statement No. 333-229686 The information in this preliminary prospectus supplement and the accompanying base prospectus is not complete and may be changed. A registration statement relating to these securities has been declared effective under the Securities Act of 1933, as amended. This preliminary prospectus supplement and the accom

Forward-Looking Statements TM This presentation contains forward-looking statements regarding Zosano’s technology and product candidates, including Qtrypta and C213, and other future events and expectations. Readers are urged to consider statements t

EX-99.1 Exhibit 99.1 Corporate Presentation February 2020 ZSCP2020-2.2 Copyright © 2020 Zosano Pharma | ConfidentialExhibit 99.1 Corporate Presentation February 2020 ZSCP2020-2.2 Copyright © 2020 Zosano Pharma | Confidential Forward-Looking Statements TM This presentation contains forward-looking statements regarding Zosano’s technology and product candidates, including Qtrypta and C213, and other

Financial Statements and Exhibits, Other Events

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 10, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation or o

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 3, 2020 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation or org

Other Events

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 23, 2019 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation or o

2,181,034 Shares Zosano Pharma Corporation Common Stock

Prospectus Supplement Filed Pursuant to Rule 424(b)(5) Table of Contents Filed pursuant to Rule 424(b)(5) Registration Statement No.

Securities Purchase Agreement, dated November 27, 2019, among the Company and the investors party thereto

EX-10.1 Exhibit 10.1 Certain portions of this Exhibit have been redacted because such terms are both not material and would likely cause competitive harm to the Company if publicly disclosed. These redacted portions have been marked in this Exhibit with three asterisks [***]. EXECUTION VERSION SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”) is made and entered i

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

8-K 1 d834858d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 27, 2019 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdic

Trinity Capital Fund III, L.P. Equipment Schedule No. 1-4, dated September 13, 2019. (incorporated by reference to Exhibit 10.1 to the registrant's Quarterly Report on Form 10-Q filed with the SEC on November 14, 2019)

Exhibit 10.1 TRINITY CAPITAL FUND III, LP. EQUIPMENT SCHEDULE NO.1-4 This Equipment Schedule is executed pursuant to that certain Master Lease Agreement dated as of September 25, 2018 (the "Agreement"; which is incorporated herein by reference). This Equipment Schedule, incorporating by reference the terms and conditions of the Agreement, constitutes a separate instrument of lease. Capitalized ter

Zosano Pharma Reports Third Quarter 2019 Financial Results and Provides Corporate Update Conference call scheduled for 1:30 pm PT today

Exhibit 99.1 Zosano Pharma Reports Third Quarter 2019 Financial Results and Provides Corporate Update Conference call scheduled for 1:30 pm PT today FREMONT, Calif., November 14, 2019 - Zosano Pharma Corporation (NASDAQ:ZSAN), a clinical-stage biopharmaceutical company, today announced financial results for the third quarter ended September 30, 2019, as well as recent business highlights. "These n

Form of Zosano Pharma Corporation Nonstatutory Stock Option Award Agreement

Exhibit 10.5 ZOSANO PHARMA CORPORATION NONSTATUTORY STOCK OPTION AWARD AGREEMENT Pursuant to that certain offer letter entered into between the Holder and the Company, dated as of (the “Offer Letter”), Zosano Pharma Corporation (the “Company”) hereby grants to (the “Holder”) an option (the “Option”) to purchase a total of shares of the Company’s common stock, par value $0.0001 per share (the “Comm

November 14, 2019

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 14, 2019 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commis

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 24, 2019 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commiss

ZSAN / Zosano Pharma Corporation / Flint Ridge Capital LLC Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Zosano Pharma Corporation (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) 98979H202 (CUSIP Number) October 4, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule purs

Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 10, 2019 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation

Employment Letter Agreement dated October 5, 2019 with Steven Lo (incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K filed with the SEC on October 8, 2019)

EX-10.2 Exhibit 10.2 Zosano Pharma Corporation 34790 Ardentech Court Fremont, CA 94555 October 5, 2019 Steven Lo ***** ***** Dear Steven: This letter will confirm the terms and conditions of your employment with Zosano Pharma Corporation, a Delaware corporation (the “Company”). 1. Position and Duties. Effective October 21, 2019 or such other date mutually agreed in writing between you and the Comp

CEO Transition Letter Agreement dated October 7, 2019 with John Walker (incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K filed with the Commission on October 8, 2019)

EX-10.1 Exhibit 10.1 October 7, 2019 John Walker ***** ***** Re: CEO Transition Dear John: As you know, Zosano Pharma Corporation (the “Company”) intends to hire a new President and Chief Executive Officer (the “New CEO”). This letter will confirm the terms and conditions of your continued service with the Company through the transition of the Chief Executive Officer role. 1. Resignation. Effectiv

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Financial Statements and Exhibits

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 5, 2019 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation or org

Zosano Pharma Announces Inducement Grant Under Nasdaq Listing Rule 5635(c)(4)

Exhibit 99.1 Zosano Pharma Announces Inducement Grant Under Nasdaq Listing Rule 5635(c)(4) FREMONT, Calif., September 27, 2019 - Zosano Pharma Corporation (NASDAQ:ZSAN), a clinical-stage biopharmaceutical company, today announced that the Board of Directors granted a stock option to purchase 100,000 shares of Zosano’s common stock to a new employee as an inducement award. The stock option has an e

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 25, 2019 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commi

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 9, 2019 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commis

Termination of a Material Definitive Agreement

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 22, 2019 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commissi

Up to $15,000,000 of Shares Common Stock

424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-229686 PROSPECTUS SUPPLEMENT (To Prospectus dated March 27, 2019) Up to $15,000,000 of Shares Common Stock We have entered into a sales agreement with BTIG, LLC, or BTIG, relating to shares of our common stock offered by this prospectus supplement and the accompanying prospectus. In accordance with the terms of the sales

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 19, 2019 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation or org

Sales Agreement, dated as of August 19, 2019, by and between Zosano Pharma Corporation and BTIG, LLC

EX-10.1 Exhibit 10.1 ZOSANO PHARMA CORPORATION UP TO $15,000,000 OF COMMON STOCK (par value $0.0001 per share) AT-THE-MARKET SALES AGREEMENT August 19, 2019 BTIG, LLC 600 Montgomery Street 6th Floor San Francisco, CA 94111 Ladies and Gentlemen: Zosano Pharma Corporation, a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with BTIG, LLC (“BTIG” and, together with the

ZSAN / Zosano Pharma Corporation S-8 - - REGISTRATION STATEMENT ON FORM S-8

S-8 1 d764453ds8.htm REGISTRATION STATEMENT ON FORM S-8 As filed with the Securities and Exchange Commission on August 14, 2019 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ZOSANO PHARMA CORPORATION (Exact name of Registrant as specified in its charter) Delaware 45-4488360 (State or ot

Zosano Pharma Reports Second Quarter 2019 Financial Results and Provides Corporate Update Conference call scheduled for 1:30 pm PT today

EX-99.1 2 exhibit991q22019.htm EXHIBIT 99.1 Exhibit 99.1 Zosano Pharma Reports Second Quarter 2019 Financial Results and Provides Corporate Update Conference call scheduled for 1:30 pm PT today FREMONT, Calif., August 14, 2019 - Zosano Pharma Corporation (NASDAQ:ZSAN), a clinical-stage biopharmaceutical company, today announced financial results for the second quarter ended June 30, 2019, as well

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 14, 2019 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commissi

Master Lease Agreement, dated September 25, 2018, with Trinity Capital Fund III, L.P., as amended, together with Equipment Schedule No. 1-1, dated September 25, 2018, Equipment Schedule No. 1-2, dated December 11, 2018, and Equipment Schedule No. 1-3, dated June 6, 2019 (incorporated by reference to Exhibit 10.1 to the registrant's Quarterly Report on Form 10-Q filed with the SEC on August 14, 2019)

Exhibit 10.1 TRINITY CAPITAL FUND III, L.P. MASTER LEASE AGREEMENT THIS MASTER LEASE AGREEMENT (this "Agreement") is made as of September 25, 2018, between TRINITY CAPITAL FUND III, L.P., a Delaware limited partnership ("Lessor") and ZOSANO PHARMA CORPORATION ("Lessee"). Lessee desires to lease from Lessor the equipment and other property (the "Equipment") described in each Equipment Schedule exec

August 14, 2019

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001

Submission of Matters to a Vote of Security Holders

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 18, 2019 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commis

ZSAN / Zosano Pharma Corporation DEFA14A - - DEFA14A

DEFA14A 1 d747151ddefa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as

ZSAN / Zosano Pharma Corporation DEF 14A - - DEFINITIVE PROXY STATEMENT

Definitive Proxy Statement Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

Letter to the U.S. Securities and Exchange Commission, dated May 31, 2019, from Marcum LLP (incorporated by reference to Exhibit 16.1 to the Company’s Current Report on Form 8-K filed with the SEC on May 31, 2019)

EX-16.1 Exhibit 16.1 May 31, 2019 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by Zosano Pharma Corporation under Item 4.01 of its Form 8-K dated May 31, 2019. We agree with the statements concerning our Firm in Item 4.01(a); we are not in a position to agree or disagree with other statements of Zosano Pharma Corporation

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 25, 2019 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Co

Zosano Pharma Reports First Quarter 2019 Financial Results

Zosano Pharma Reports First Quarter 2019 Financial Results • Multiple catalysts, including QtryptaTM NDA submission, anticipated in 2019 • Company bolstered balance sheet to advance proprietary programs and expand applicability of ADAM microneedle technology • Conference call scheduled for 1:30 pm PT today FREMONT, Calif.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 14, 2019 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commission

Purchase Order #9186, dated as of February 14, 2019 between Zosano Pharma Corporation and Harro Hofliger Packaging Systems (incorporated by reference to Exhibit 10.1 to the registrant's Quarterly Report on Form 10-Q filed with the SEC on May 14, 2019)

exhibit101

May 14, 2019

10-Q 1 zsan-20190331x10q.htm 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 00

Financial Statements and Exhibits, Other Events

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 9, 2019 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commis

Underwriting Agreement, dated as of April 9, 2019, among Zosano Pharma Corporation and Cantor Fitzgerald & Co.

EX-1.1 Exhibit 1.1 Execution Version ZOSANO PHARMA CORPORATION 5,000,000 Shares of Common Stock (par value $0.0001 per share) Underwriting Agreement April 9, 2019 Cantor Fitzgerald & Co. As Representative of the several Underwriters listed in Schedule A hereto 499 Park Avenue New York, NY 10022 Ladies and Gentlemen: Zosano Pharma Corporation, a Delaware corporation (the “Company”), proposes to iss

5,000,000 Shares Zosano Pharma Corporation Common Stock

424B5 Table of Contents Filed pursuant to Rule 424(b)(5) Registration Statement No.

Subject to completion, dated April 8, 2019

424B5 1 d623740d424b5.htm 424B5 Table of Contents Filed pursuant to Rule 424(b)(5) Registration Statement No. 333-229686 The information in this preliminary prospectus supplement and the accompanying base prospectus is not complete and may be changed. A registration statement relating to these securities has been declared effective under the Securities Act of 1933, as amended. This preliminary pro

ZSAN / Zosano Pharma Corporation CORRESP

Acceleration Request Zosano Pharma Corporation 34790 Ardentech Court Fremont, CA 94555 March 25, 2019 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Healthcare & Insurance 100 F Street, N.

Form 10-K

Table of Contents Index to Financial Statements UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

Financial Statements and Exhibits, Results of Operations and Financial Condition

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 14, 2019 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commissio

Zosano Pharma Reports Fourth Quarter and Fiscal Year 2018 Financial Results

Exhibit 99.1 Zosano Pharma Reports Fourth Quarter and Fiscal Year 2018 Financial Results FREMONT, Calif., March 14, 2019 - Zosano Pharma Corporation (NASDAQ:ZSAN), a clinical-stage biopharmaceutical company, today announced financial results for the fourth quarter and year ended December 31, 2018, as well as recent business highlights. “Following the completion of our Phase 3 clinical program for

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

8-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 14, 2019 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation)

ZSAN / Zosano Pharma Corporation S-3

S-3 Table of Contents As filed with the Securities and Exchange Commission on February 14, 2019 Registration No.

Form of Indenture.

EX-4.6 Exhibit 4.6 Zosano Pharma Corporation INDENTURE Dated as of , 20 [ ] Trustee TABLE OF CONTENTS Page ARTICLE I. DEFINITIONS AND INCORPORATION BY REFERENCE 1 Section 1.1. Definitions 1 Section 1.2. Other Definitions 4 Section 1.3. Incorporation by Reference of Trust Indenture Act 4 Section 1.4. Rules of Construction 5 ARTICLE II. THE SECURITIES 5 Section 2.1. Issuable in Series 5 Section 2.2.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 14, 2019 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Com

ZSAN / Zosano Pharma Corporation NT 10-Q

NT 10-Q 1 d647830dnt10q.htm NT 10-Q SEC FILE NUMBER 001-36570 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: September 30, 2018 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on F

Manufacturing and Supply Agreement, dated September 25, 2018 with Patheon Manufacturing Services LLC. (Incorporated by reference to Exhibit 10.7 to the registrant's current report on Form 10-Q filed with the SEC on November 15, 2018).

EX-10.7 Exhibit 10.7 [***] Certain information in this document has been omitted and filed separately with the Securities and Exchange Commission. Confidential treatment has been requested with respect to the omitted portions. MANUFACTURING AND SUPPLY AGREEMENT This MANUFACTURING AND SUPPLY AGREEMENT (this “Agreement”) dated as of September 25, 2018 (the “Effective Date”) is made by and between Zo

November 15, 2018

10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

Master Lease Agreement, dated September 25, 2018, with Trinity Capital Fund III, L.P.

EX-10.6 Exhibit 10.6 TRINITY CAPITAL FUND III, L.P. MASTER LEASE AGREEMENT THIS MASTER LEASE AGREEMENT (this “Agreement”) is made as of September 25, 2018, between TRINITY CAPITAL FUND III, L.P., a Delaware limited partnership (“Lessor”) and ZOSANO PHARMA CORPORATION (“Lessee”). Lessee desires to lease from Lessor the equipment and other property (the “Equipment”) described in each Equipment Sched

ZOSANO PHARMA CORPORATION CONDENSED STATEMENTS OF OPERATIONS (unaudited; in thousands, except per share amounts) Three Months Ended September 30, Nine Months Ended September 30, 2018 2017 2018 2017 Revenue: $ - $ - $ - $ - Operating expenses: Researc

EX-99.1 Exhibit 99.1 Zosano Pharma Reports Third Quarter 2018 Financial Results and Operational Update • Selected a contract manufacturer for commercial launch of M207 • Completed first required data set in long-term safety study of M207 • Appointed Greg Kitchener as Chief Financial Officer Fremont, Calif., November 14, 2018 – Zosano Pharma Corporation (NASDAQ:ZSAN) (“Zosano” or the “Company”), a

Financial Statements and Exhibits, Results of Operations and Financial Condition

8-K 1 d616451d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 14, 2018 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdic

Amended Agreement dated October 15, 2018 with Hayley Lewis (Incorporated by reference to Exhibit 10.3 to the registrant's current report on Form 8-K filed with the SEC on October 16, 2018).

EX-10.3 Exhibit 10.3 October 12, 2018 Dear Hayley: You and Zosano Pharma Corporation, a Delaware corporation (the “Company”) are parties to an employment letter agreement, dated September 18, 2018 (the “Employment Agreement”). This letter agreement is to confirm our mutual understanding regarding an amendment to Employment Agreement. Effective as of the date set forth above, you and the Company he

Agreement dated October 15, 2018 with Donald Kellerman, Pharm D. (incorporated by reference to Exhibit 10.2 to the registrant's current report on Form 8-K filed with the SEC on October 16, 2018)

EX-10.2 Exhibit 10.2 October 12, 2018 Dear Donald You and Zosano Pharma Corporation, a Delaware corporation (the “Company”) are parties to an employment letter agreement, dated September 18, 2018 (the “Employment Agreement”). This letter agreement is to confirm our mutual understanding regarding an amendment to Employment Agreement. Effective as of the date set forth above, you and the Company her

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 25, 2018 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporatio

Employment Agreement dated September 25, 2018 with Greg Kitchener.

EX-10.1 Exhibit 10.1 September 25, 2018 Dear Greg: This letter will confirm the terms and conditions of your employment with Zosano Pharma Corporation, a Delaware corporation (the “Company”). 1. Position and Duties. Effective October 15, 2018 or such other date mutually agreed in writing between you and the Company (such date when you actually commences employment with the Company, the “Effective

Entry into a Material Definitive Agreement

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 27, 2018 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (C

Warrant to Purchase Stock, dated as of September 25, 2018 (incorporated by reference to Exhibit 4.1 to the registrant's current report on Form 8-K filed with the SEC on September 26, 2018).

EX-4.1 Exhibit 4.1 THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR THE SECURITIES LAWS OF ANY STATE AND, EXCEPT AS SET FORTH IN SECTIONS 5.3 AND 5.4 BELOW, MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED UNLESS AND UNTIL REGISTERED UNDER SAID ACT AND LAWS OR IN FORM AND SUBSTANCE SATISFACTORY TO THE COM

Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 25, 2018 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporatio

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 18, 2018 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporatio

Amended and Restated Employment Agreement dated September 18, 2018 with Hayley Lewis.

EX-10.2 Exhibit 10.2 September 18, 2018 Dear Hayley: This letter will confirm the terms and conditions of your employment with Zosano Pharma Corporation, a Delaware corporation (the “Company”). This letter amends, restates, supersedes and replaces that certain Employment Letter Agreement dated as of September 14, 2015 by and between the Company (as successor in interest to ZP Opco, Inc. f/k/a Zosa

Amended and Restated Employment Agreement dated September 18, 2018 with Donald Kellerman, Pharm D. (incorporated by reference to Exhibit 10.1 to the registrant's current report on Form 8-K filed with the SEC on September 24, 2018)

EX-10.1 Exhibit 10.1 September 18, 2018 Dear Donald: This letter will confirm the terms and conditions of your employment with Zosano Pharma Corporation, a Delaware corporation (the “Company”). This letter amends, restates, supersedes and replaces that certain Employment Letter Agreement dated as of May 1, 2015 by and between the Company (as successor in interest to ZP Opco, Inc. f/k/a Zosano Phar

Zosano Pharma Reports Second Quarter 2018 Financial Results and Operational Update

EX-99.1 Exhibit 99.1 Zosano Pharma Reports Second Quarter 2018 Financial Results and Operational Update • Completed enrollment for our M207-ADAM study with 344 subjects • Presented additional analyses from the ZOTRIP pivotal study on pain relief and recurrence at the 2018 American Headache Society (AHS) meeting • Published M207 nonclinical data in multiple leading scientific journals FREMONT, Cali

Financial Statements and Exhibits, Results of Operations and Financial Condition

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 9, 2018 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (

Eighth Amendment to Lease entered into as of May 30, 2018 by and between Zosano Pharma Corporation and BMR-34790 Ardentech Court LP (incorporated by reference to Exhibit 10.4 to the registrant's Quarterly Report on Form 10-Q filed with the Commission on August 9, 2018)

EX-10.4 Exhibit 10.4 EIGHTH AMENDMENT TO LEASE THIS EIGHTH AMENDMENT TO LEASE (this “Amendment”) is entered into as of this 30th day of May, 2018, by and between BMR-34790 ARDENTECH COURT LP, a Delaware limited partnership (“Landlord,” formerly known as BMR-34790 Ardentech Court LLC), and ZOSANO PHARMA CORPORATION, a Delaware corporation (“Tenant,” as successor-in-interest to ZP Opco, Inc., former

August 9, 2018

10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 23, 2018 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commiss

Purchase Order by and between Zosano Pharma Corporation and Harro Hoflinger Packaging System (incorporated by reference to Exhibit 10.1 to the Company's Current Report on Form 8-K filed with the Commission on August 6, 2018).

EX-10.1 Exhibit 10.1 Purchase Order #9186G Vendor: Harro Hofliger Packaging Systems 350 S. Main St. Suite 315 Doylestown, PA 18901 Contact: Joe Pistorius Email: [email protected] Web: www.x-rates.com/calculator.html Ship To: Zosano Pharma Corporation 34790 Ardentech Court Fremont, California 94555 US Attn: Hayley Lewis, Room: 2114 Email: [email protected] Web: www.zosanopharma.com

Employment Letter Agreement, dated as of June 7, 2018 between Zosano Pharma Corporation and John Walker.

EX-10.1 Exhibit 10.1 June 7, 2018 John Walker Re: Employment Agreement Dear John: This letter will confirm the terms and conditions of your continued employment with Zosano Pharma Corporation, a Delaware corporation (the “Company”). This letter amends, restates, supersedes and replaces that certain Employment Letter Agreement dated as of August 9, 2017 by and between the Company (individually and

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 7, 2018 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Co

ZSAN / Zosano Pharma Corporation S-8

S-8 As filed with the Securities and Exchange Commission on June 8, 2018 Registration No.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 31, 2018 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commiss

Zosano Pharma Corporation Amended and Restated 2014 Equity and Incentive Plan, as amended May 31, 2018 (incorporated by reference to Exhibit 10.1 to the registrant's Current Report on Form 8-K filed with the Commission on June 5, 2018)

EX-10.1 Exhibit 10.1 Approved by the Stockholders on May 31, 2018 ZOSANO PHARMA CORPORATION AMENDED AND RESTATED 2014 EQUITY AND INCENTIVE PLAN (As adjusted to reflect the application of the 1-for-20 reverse stock split of the Company’s common stock effective on January 25, 2018) Section 1. Purposes of the Plan The purposes of this Amended and Restated 2014 Equity and Incentive Plan (the “Plan”) a

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 17, 2018 ZOSANO PHARMA CORPORATION (Exact name of registrant as specified in its charter) Delaware 001-36570 45-4488360 (State or other jurisdiction of incorporation) (Commiss

Zosano Appoints Steven A. Elms to Board of Directors

EX-99.1 Exhibit 99.1 Zosano Appoints Steven A. Elms to Board of Directors FREMONT, CA, May 22, 2018 - Zosano Pharma Corporation (NASDAQ:ZSAN) (“Zosano” or the “Company”) a clinical-stage biopharmaceutical company focused on providing rapid systemic administration of therapeutics to subjects using its proprietary Adhesive Dermally-Applied Microarray (“ADAM™”) technology, today announced that Steven

ZSAN / Zosano Pharma Corporation DEFA14A

DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2))