SEC Form 4 · accession 0000899243-17-028504
ZOGENIX, INC. · ZGNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger Hawley
Director
Period of report
Dec 7, 2017
Accepted (ET)
Dec 11, 2017 · 8:13 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001375151
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 7, 2017 | M | 15,000 | $15.04 | A | 105,575 | D | |
| Common StockF1 | Dec 7, 2017 | S | 15,000 | $36.9163 | D | 90,575 | D | |
| Common Stock | Dec 7, 2017 | M | 12,370 | $10.64 | A | 102,945 | D | |
| Common Stock | Dec 7, 2017 | S | 12,370 | $36.40 | D | 90,575 | D | |
| Common Stock | Dec 7, 2017 | M | 9,000 | $12.80 | A | 99,575 | D | |
| Common Stock | Dec 7, 2017 | S | 9,000 | $36.40 | D | 90,575 | D | |
| Common Stock | Dec 7, 2017 | M | 20,000 | $8.99 | A | 110,575 | D | |
| Common Stock | Dec 7, 2017 | S | 20,000 | $36.40 | D | 90,575 | D | |
| Common Stock | Dec 8, 2017 | M | 11,797 | $15.04 | A | 102,372 | D | |
| Common StockF2 | Dec 8, 2017 | S | 11,797 | $37.0182 | D | 90,575 | D | |
| Common Stock | Dec 11, 2017 | M | 44,741 | $15.04 | A | 135,316 | D | |
| Common StockF3 | Dec 11, 2017 | S | 44,741 | $36.8407 | D | 90,575 | D | |
| Common Stock | Dec 11, 2017 | M | 8,462 | $10.64 | A | 99,199 | D | |
| Common StockF3 | Dec 11, 2017 | S | 8,462 | $36.8407 | D | 90,575 | D | |
| Common Stock | Dec 11, 2017 | M | 10,000 | $12.75 | A | 100,575 | D | |
| Common StockF3 | Dec 11, 2017 | S | 10,000 | $36.8407 | D | 90,575 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F4 | $15.04 | Dec 7, 2017 | M | 15,000 | D | — | Apr 27, 2022 | Common Stock | 15,000 | 109,999 | D |
| Stock Option (Right to Buy)F5 | $10.64 | Dec 7, 2017 | M | 12,370 | D | — | Mar 17, 2025 | Common Stock | 12,370 | 18,879 | D |
| Stock Option (Right to Buy)F6 | $12.80 | Dec 7, 2017 | M | 9,000 | D | — | Jun 17, 2025 | Common Stock | 9,000 | 0 | D |
| Stock Option (Right to Buy)F7 | $8.99 | Dec 7, 2017 | M | 20,000 | D | — | Jul 12, 2026 | Common Stock | 20,000 | 0 | D |
| Stock Option (Right to Buy)F4 | $15.04 | Dec 8, 2017 | M | 11,797 | D | — | Apr 27, 2022 | Common Stock | 11,797 | 98,202 | D |
| Stock Option (Right to Buy)F4 | $15.04 | Dec 11, 2017 | M | 44,741 | D | — | Apr 27, 2022 | Common Stock | 44,741 | 53,461 | D |
| Stock Option (Right to Buy)F5 | $10.64 | Dec 11, 2017 | M | 8,462 | D | — | Mar 17, 2025 | Common Stock | 8,462 | 10,417 | D |
| Stock Option (Right to Buy)F8 | $12.75 | Dec 11, 2017 | M | 10,000 | D | — | May 22, 2027 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.90 to $36.95, inclusive. The Reporting Person undertakes to provide, upon request to the Securities Exchange Commission staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.00 to $37.05, inclusive. The Reporting Person undertakes to provide, upon request to the Securities Exchange Commission staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.80 to $36.90, inclusive. The Reporting Person undertakes to provide, upon request to the Securities Exchange Commission staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- F4The option was granted on April 27, 2012 and vested in a series of forty-eight (48) successive, equal monthly installments beginning on April 27, 2012, subject to the Reporting Person's continued employment with or service to the company on each vesting date.
- F5The option was granted on March 17, 2015 and vested in a series of forty-eight (48) successive, equal monthly installments beginning on March 17, 2015, subject to the Reporting Person's continued employment with or service to the company on each such vesting date.
- F6The option was granted on June 18, 2015 and vested in a series of twelve (12) successive, equal monthly installments beginning on June 18, 2015, subject to the Reporting Person's continued service to the company on each vesting date.
- F7The option was granted on July 13, 2016 and vested in a series of twelve (12) successive, equal monthly installments beginning on August 1, 2016, subject to the Reporting Person's continued service to the company on each vesting date.
- F8The option was granted on May 23, 2017 and vests in a series of twelve (12) successive, equal monthly installments beginning on May 23, 2017, subject to the Reporting Person's continued service to the company on each vesting date.