SEC Form 4 · accession 0001375151-18-000065
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
Aug 8, 2018
Accepted (ET)
Aug 10, 2018 · 4:06 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 | Aug 8, 2018 | M | 7,000 | $13.96 | A | 14,143 | D | |
| Common StockF2,F1 | Aug 8, 2018 | S | 5,100 | $52.4152 | D | 9,043 | D | |
| Common StockF3,F1 | Aug 8, 2018 | S | 1,900 | $53.1553 | 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)F4 | $13.96 | Aug 8, 2018 | M | 7,000 | D | — | Jun 30, 2025 | Common Stock | 7,000 | 44,250 | D |
Explanation of responses
- F1The exercise and sale transactions reported in this Form 4 are made pursuant to a Rule 10b5-1 trading plan.
- F2The price reported in Column 4 is a weighted average price.These shares were sold in multiple transactions at prices ranging from $51.95 to $52.90, inclusive.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, additional information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3The price reported in Column 4 is a weighted average price.These shares were sold in multiple transactions at prices ranging from $52.95 to $53.53, inclusive.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, additional information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F4The 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.