SEC Form 4 · accession 0001181431-15-004765
ZOGENIX, INC. · ZGNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Roger Hawley
Officer — Chief Executive Officer · Director
Period of report
Mar 16, 2015
Accepted (ET)
Mar 17, 2015 · 5:16 pm EDT
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 StockF1 | Mar 16, 2015 | A | 140,000 | $1.312 | A | 1,344,447 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Right to buy stockF2 | $1.33 | Mar 17, 2015 | A | 250,000 | A | — | Mar 17, 2025 | Common Stock | 250,000 | 250,000 | D |
Explanation of responses
- F1Reflects the weighted average price of the shares purchased. These shares were purchased in multiple transactions at prices ranging from $1.305 to $1.32. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
- F2The option was granted on March 17, 2015 and vests 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 the company on each such vesting date.