SEC Form 4 · accession 0001375151-18-000011

ZOGENIX, INC. · ZGNX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

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^F1	Mar 12, 2018	M	218	$28.00	A	218	I	See foonote
Common Stock^F1	Mar 12, 2018	M	218	$20.00	A	436	I	See footnote
Common Stock^F1	Mar 12, 2018	M	218	$32.00	A	654	I	See foonote
Common Stock^F1	Mar 12, 2018	M	1,562	$30.96	A	2,216	I	See foonote
Common Stock^F1	Mar 12, 2018	M	6,250	$15.04	A	8,466	I	See foonote
Common Stock^F1	Mar 12, 2018	M	4,375	$14.88	A	12,841	I	See foonote
Common Stock^F1	Mar 12, 2018	M	5,625	$12.00	A	18,466	I	See foonote
Common Stock^F1	Mar 12, 2018	M	6,250	$15.52	A	24,716	I	See foonote
Common Stock^F1,F2	Mar 12, 2018	S	24,716	$44.8347	D	0	I	See foonote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Stock Option (Right to Buy)^F1,F3	$28.00	Mar 12, 2018	M	218	D	—	Oct 20, 2018	Common Stock	218	I
Stock Option (Right to Buy)^F1,F3	$20.00	Mar 12, 2018	M	218	D	—	Sep 1, 2019	Common Stock	218	I
Stock Option (Right to Buy)^F1,F3	$32.00	Mar 12, 2018	M	218	D	—	May 30, 2020	Common Stock	218	I
Stock Option (Right to Buy)^F1,F3	$30.96	Mar 12, 2018	M	1,562	D	—	May 24, 2021	Common Stock	1,562	I
Stock Option (Right to Buy)^F1,F3	$15.04	Mar 12, 2018	M	6,250	D	—	Apr 27, 2022	Common Stock	6,250	I
Stock Option (Right to Buy)^F1,F3	$14.88	Mar 12, 2018	M	4,375	D	—	Jun 5, 2022	Common Stock	4,375	I
Stock Option (Right to Buy)^F1,F3	$12.00	Mar 12, 2018	M	5,625	D	—	Jun 18, 2023	Common Stock	5,625	I
Stock Option (Right to Buy)^F1,F3	$15.52	Mar 12, 2018	M	6,250	D	—	May 21, 2024	Common Stock	6,250	I

F1Pursuant to the policies of Scale Venture Partners II, LP ("Scale Partners") and Scale Venture Management II, LLC ("Scale Management II") and Scale Management LLC ("Scale Management"), the Reporting Person is deemed to hold the reported security for the benefit of Scale Management. The stock options were exercised and the underlying shares of Common Stock were sold at the direction of Scale Partners and Scale Management II. Scale Management may be deemed the indirect beneficial owner of the reported securities. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
F2The shares were sold at prices ranging between $44.75 and $44.95. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.
F3Fully vested.