SEC Form 4 · accession 0001375151-18-000010
ZOGENIX, INC. · ZGNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Roger Hawley
Director
Period of report
Mar 12, 2018
Accepted (ET)
Mar 14, 2018 · 4:15 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 Stock | Mar 12, 2018 | M | 7,240 | $28.00 | A | 97,815 | D | |
| Common StockF1 | Mar 12, 2018 | S | 7,240 | $44.9654 | D | 90,575 | D | |
| Common Stock | Mar 13, 2018 | M | 4,009 | $28.00 | A | 94,584 | D | |
| Common Stock | Mar 13, 2018 | M | 16,798 | $15.04 | A | 111,382 | D | |
| Common Stock | Mar 13, 2018 | M | 1,953 | $10.64 | A | 113,335 | D | |
| Common Stock | Mar 13, 2018 | M | 5,000 | $12.75 | A | 118,335 | D | |
| Common StockF2 | Mar 13, 2018 | S | 27,760 | $44.6483 | 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)F3 | $28.00 | Mar 12, 2018 | M | 7,240 | D | — | Oct 20, 2018 | Common Stock | 7,240 | 4,009 | D |
| Stock Option (Right to Buy)F3 | $28.00 | Mar 13, 2018 | M | 4,009 | D | — | Oct 20, 2018 | Common Stock | 4,009 | 0 | D |
| Stock Option (Right to Buy)F4 | $15.04 | Mar 13, 2018 | M | 16,798 | D | — | Apr 27, 2022 | Common Stock | 16,798 | 36,663 | D |
| Stock Option (Right to Buy)F5 | $10.64 | Mar 13, 2018 | M | 1,953 | D | — | Mar 17, 2025 | Common Stock | 1,953 | 8,464 | D |
| Stock Option (Right to Buy)F6 | $12.75 | Mar 13, 2018 | M | 5,000 | D | — | May 22, 2027 | Common Stock | 5,000 | 5,000 | 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 $44.85 to $45.05, 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.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.25 to $45.20, 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 Option was granted on October 21, 2008 and 1/4 of the total number of shares of common stock subject to the option vested on October 21, 2009, and 1/48th of the total remaining number of shares of common stock subject to the option vested monthly thereafter, subject to the Reporting Person's continued employment or service relationship on each such vesting date.
- 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 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.