SEC Form 4 · accession 0001375151-19-000024
ZOGENIX, INC. · ZGNX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Renee P Tannenbaum
Director
Period of report
Mar 6, 2019
Accepted (ET)
Mar 8, 2019 · 4:48 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 6, 2019 | M | 9,375 | $10.40 | A | 19,375 | D | |
| Common Stock | Mar 6, 2019 | M | 6,000 | $12.80 | A | 25,375 | D | |
| Common Stock | Mar 6, 2019 | M | 20,000 | $12.75 | A | 45,375 | D | |
| Common Stock | Mar 6, 2019 | M | 20,000 | $8.99 | A | 65,375 | D | |
| Common StockF1 | Mar 6, 2019 | S | 17,503 | $50.647 | D | 47,872 | 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 | $10.40 | Mar 6, 2019 | M | 9,375 | D | — | Feb 5, 2025 | Common Stock | 9,375 | 0 | D |
| Stock Option (Right to Buy)F3 | $12.80 | Mar 6, 2019 | M | 6,000 | D | — | Jun 17, 2025 | Common Stock | 6,000 | 3,000 | D |
| Stock Option (Right to Buy)F4 | $8.99 | Mar 6, 2019 | M | 20,000 | D | — | Jul 12, 2026 | Common Stock | 20,000 | 0 | D |
| Stock Option (Right to Buy)F5 | $12.75 | Mar 6, 2019 | M | 20,000 | D | — | May 22, 2027 | Common Stock | 20,000 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price.These shares were sold in multiple transactions at prices ranging from $50.40 to $50.90, 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.
- F2The option was granted on February 6, 2015, which is the vesting commencement date. Shares subject to the option vests over three years in thirty-six equal monthly installments, subject to the Reporting Person's continued service to the Company on each vesting date.
- F3The option was granted on June 18, 2015 and vests in a series of twelve (12) 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.
- F4The option was granted on July 13, 2016 and vests in a series of twelve (12) successive, equal monthly installments, on the first day of each calendar month following 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 23, 2017, the date of the Company's Annual Meeting of Stockholders, and vests in a series of twelve (12) 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.