SEC Form 4 · accession 0001375151-18-000050
ZOGENIX, INC. · ZGNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gail M Farfel
Officer — EVP/Chief Development Officer
Period of report
Jun 12, 2018
Accepted (ET)
Jun 13, 2018 · 8:57 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 StockF2 | Jun 12, 2018 | M | 5,000 | $13.96 | A | 12,261 | D | |
| Common Stock | Jun 12, 2018 | S | 5,118 | $45.00 | D | 7,143 | 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 | $13.96 | Jun 12, 2018 | M | 5,000 | D | — | Jun 30, 2025 | Common Stock | 5,000 | 51,250 | D |
Explanation of responses
- F1The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 16, 2018.
- F2Includes 7,261 shares of common stock previously purchased by the Reporting Person pursuant to the Issuer's employee stock purchase plan.
- F3The option was granted on July 1, 2015, which is the vesting commencement date. One-fourth of the shares subject to the option will vest on the first anniversary of the vesting commencement date, and the remaining shares subject to the option shall vest in thirty-six equal monthly installments over the three-year period thereafter, subject to the Reporting Person's continued employment with the Company on each vesting date