SEC Form 4 · accession 0001375151-18-000074

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

Oct 4, 2018

Accepted (ET)

Oct 9, 2018 · 5:37 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
Common Stock	Oct 4, 2018	M	6,961	$13.96	A	14,104	D
Common Stock^F2,F1	Oct 4, 2018	S	2,100	$42.9224	D	12,004	D
Common Stock^F3,F1	Oct 4, 2018	S	2,900	$43.1123	D	9,104	D
Common Stock^F4,F1	Oct 4, 2018	S	1,961	$43.7356	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)^F5	$13.96	Oct 4, 2018	M	6,961	D	—	Jun 30, 2025	Common Stock	6,961	30,289	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 $42.65 to $43.03, 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 $43.04 to $43.19, 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 price reported in Column 4 is a weighted average price.These shares were sold in multiple transactions at prices ranging from $43.22 to $44.70, 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.
F5The 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.