SEC Form 4 · accession 0001375151-19-000007
ZOGENIX, INC. · ZGNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Cam L Garner
Director
Period of report
Feb 12, 2019
Accepted (ET)
Feb 14, 2019 · 8:41 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 | Feb 12, 2019 | M | 218 | $32.00 | A | 218 | D | |
| Common Stock | Feb 12, 2019 | M | 1,562 | $30.96 | A | 1,780 | D | |
| Common Stock | Feb 12, 2019 | M | 6,250 | $15.04 | A | 8,030 | D | |
| Common Stock | Feb 12, 2019 | M | 4,375 | $14.88 | A | 12,405 | D | |
| Common StockF2,F1 | Feb 12, 2019 | S | 12,405 | $46.8478 | D | 0 | D | |
| Common StockF3 | holding | — | — | — | 40,843 | I | By Garner Investments, LLC |
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 | $32.00 | Feb 12, 2019 | M | 218 | D | — | May 29, 2020 | Common Stock | 218 | 0 | D |
| Stock Option (Right to Buy)F5 | $30.96 | Feb 12, 2019 | M | 1,562 | D | — | May 23, 2021 | Common Stock | 1,562 | 0 | D |
| Stock Option (Right to Buy)F6 | $15.04 | Feb 12, 2019 | M | 6,250 | D | — | Apr 26, 2022 | Common Stock | 6,250 | 0 | D |
| Stock Option (Right to Buy)F7 | $14.88 | Feb 12, 2019 | M | 4,375 | D | — | Jun 5, 2022 | Common Stock | 4,375 | 0 | 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 $46.31 to $47.19, 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.
- F3The Reporting Person is the managing member of Garner Investments, LLC.
- F4The Option was granted on May 30, 2010 and vests in a series of twelve (12) successive, equal monthly installments beginning on the date of grant, subject to the Reporting Person's continued service to the Company on each vesting date.
- F5The Option was granted on May 24, 2011 and vests in a series of twelve (12) successive, equal monthly installments beginning on the date of grant, subject to the Reporting Person's continued service to the Company on each vesting date.
- F6The Option was granted on April 27, 2012 and vests in a series of thirty-six (36) successive, equal monthly installments beginning on the date of grant, subject to the Reporting Person's continued service to the Company on each vesting date.
- F7The Option was granted on June 6, 2012 and vests in a series of twelve (12) successive, equal monthly installments beginning on the date of grant, subject to the Reporting Person's continued service to the Company on each vesting date.