SEC Form 4 · accession 0001375151-18-000076
ZOGENIX, INC. · ZGNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen J Farr
Officer — President and CEO · Director
Period of report
Oct 18, 2018
Accepted (ET)
Oct 19, 2018 · 5:20 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 StockF1 | Oct 18, 2018 | M | 937 | $28.00 | A | 52,687 | D | |
| Common StockF1 | Oct 18, 2018 | F | 740 | $41.35 | D | 51,947 | 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)F2 | $28.00 | Oct 18, 2018 | M | 937 | D | — | Oct 20, 2018 | Common Stock | 937 | 0 | D |
Explanation of responses
- F1Represents a "net exercise" of outstanding stock options. The Reporting Person received 197 shares of common stock on net exercise of options to purchase 937 shares of common stock. The Reporting Person forfeited 740 shares of common stock underlying the option in payment of the exercise price and applicable tax withholding, using the closing stock price on October 18, 2018 of $41.35.
- F2The 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 vest monthly thereafter, subject to the Reporting Person's continued employment or service relationship on each such vesting date.