SEC Form 4/A · accession 0001375151-19-000022
ZOGENIX, INC. · ZGNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Roger Hawley
Director
Period of report
Mar 1, 2019
Accepted (ET)
Mar 7, 2019 · 5:14 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 | Mar 1, 2019 | M | 3,125 | $32.00 | A | 73,700 | D | |
| Common Stock | Mar 1, 2019 | M | 1,175 | $33.92 | A | 74,875 | D | |
| Common StockF2,F1 | Mar 1, 2019 | S | 4,300 | $55.00 | D | 70,575 | 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)F3 | $32.00 | Mar 1, 2019 | M | 3,125 | D | — | May 24, 2020 | Common Stock | 3,125 | 15,625 | D |
| Stock Option (Right to Buy)F4 | $33.92 | Mar 1, 2019 | M | 1,175 | D | — | Mar 1, 2021 | Common Stock | 1,175 | 36,325 | 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 purpose of this Amendment is to correct the Price of the Securities Disposed. There are no other changes to the original filing, including the transaction listed herein.
- F3The Option was granted on May 25, 2010 and 1/4 of the total number of shares of common stock subject to the option vest on May 25, 2011, and 1/48th of the total remaining number of shares of common stock subject to the Option vest monthly thereafter, subject tothe Reporting Person's continued employment or service relationship on each vesting date.
- F4The Option was granted on March 1, 2011 and vests in a series of forty-eight (48) successive, equal monthly installments measured from the date of grant, subject to the Reporting Person's continued service to the Company on each vesting date.