Amendment No. 1 on Form 8-K





Washington, D.C. 20549




(Amendment No. 1)




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




(Exact name of registrant as specified in its charter)




Delaware   001-36570   45-4488360

(State or other jurisdiction of

incorporation or organization)



File Number)


(I.R.S. Employer

Identification No.)

34790 Ardentech Court

Fremont, CA 94555

(Address of principal executive offices) (Zip Code)

(510) 745-1200

(Registrant’s telephone number, include area code)

Not applicable

(Former name or former address, if changed since last report)



Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:


Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)


Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)


Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))


Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Exchange Act:


Title of each class


Trading Symbol


Name of each exchange on which registered

Common Stock, $0.0001 par value   ZSAN   The Nasdaq Stock Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company  

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  




Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

On January 8, 2020, Zosano Pharma Corporation (the “Company”) filed a Current Report on Form 8-K (the “Original 8-K”) reporting the appointment of Christine Matthews as interim chief financial officer, effective February 1, 2020.

At the time of filing of the Original 8-K, the Board of Directors (the “Board”) of the Company had not approved any additional compensation for Ms. Matthews in connection with her service as interim chief financial officer of the Company. This Amendment No. 1 on Form 8-K/A amends the Original 8-K to provide additional information regarding compensation for Ms. Matthews as required under Item 5.02.

On February 27, 2020, the Board determined that while Ms. Matthews serves as interim chief financial officer, in addition to her base salary, she will be entitled to a monthly stipend of $5,833.33, effective February 1, 2020, to recognize her additional responsibilities. Upon her annual merit base salary increase from $230,000 to $246,100, which is expected to become effective on March 16, 2020, the monthly stipend will decrease to $4,491.67.


Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


    By:   /s/ Steven Lo
      Steven Lo
      Chief Executive Officer