SEC Form 4 · accession 0001375151-19-000002
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
Jan 10, 2019
Accepted (ET)
Jan 11, 2019 · 4:07 pm EST
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 | Jan 10, 2019 | M | 312 | $20.00 | A | 52,259 | D | |
| Common StockF1 | Jan 10, 2019 | S | 312 | $45.00 | D | 51,947 | D | |
| Common Stock | Jan 10, 2019 | M | 35,001 | $10.35 | A | 86,948 | D | |
| Common StockF1 | Jan 10, 2019 | S | 35,001 | $45.00 | D | 51,947 | D | |
| Common Stock | Jan 10, 2019 | M | 55,000 | $10.20 | A | 106,947 | D | |
| Common StockF1 | Jan 10, 2019 | S | 55,000 | $45.00 | 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 | $20.00 | Jan 10, 2019 | M | 312 | D | — | Aug 31, 2019 | Common Stock | 312 | 5,000 | D |
| Stock Option (Right to Buy)F3 | $10.35 | Jan 10, 2019 | M | 35,001 | D | — | Mar 13, 2026 | Common Stock | 35,001 | 164,999 | D |
| Stock Option (Right to Buy)F4 | $10.20 | Jan 10, 2019 | M | 55,000 | D | — | Mar 13, 2027 | Common Stock | 55,000 | 110,000 | 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 option award was granted on September 1, 2009 and vests in a series of twenty-four (24) successive, equal monthly installments beginning on the one-month anniversary of the grant date, subject to the Reporting Person's continued service to the Company on each applicable vesting date.
- F3The option award was granted on March 14, 2016 and vests in a series of forty-eight (48) successive, equal monthly installments beginning on the one-month anniversary of the grant date, subject to the Reporting Person's continued service to the Company on each applicable vesting date.
- F4The option award was granted on March 14, 2017 and vests in a series of forty-eight (48) successive, equal monthly installments beginning with the one-month anniversary of the grant date, subject to the Reporting Person's continued service to the Company on each applicable vesting date.