0001375151-19-000090.txt : 20190705 0001375151-19-000090.hdr.sgml : 20190705 20190705191207 ACCESSION NUMBER: 0001375151-19-000090 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190703 FILED AS OF DATE: 20190705 DATE AS OF CHANGE: 20190705 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FARR STEPHEN J CENTRAL INDEX KEY: 0001247666 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 19944108 MAIL ADDRESS: STREET 1: SFARR@ZOGENIX.COM CITY: EMERYVILLE STATE: CA ZIP: 94608 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ZOGENIX, INC. CENTRAL INDEX KEY: 0001375151 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 205300780 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 5959 HORTON STREET, SUITE 500 CITY: EMERYVILLE STATE: CA ZIP: 94608 BUSINESS PHONE: (510) 550-8300 MAIL ADDRESS: STREET 1: 5959 HORTON STREET, SUITE 500 CITY: EMERYVILLE STATE: CA ZIP: 94608 FORMER COMPANY: FORMER CONFORMED NAME: ZOGENIX INC DATE OF NAME CHANGE: 20060911 4 1 wf-form4_156236831121942.xml FORM 4 X0306 4 2019-07-03 0 0001375151 ZOGENIX, INC. ZGNX 0001247666 FARR STEPHEN J C/O ZOGENIX, INC. 5959 HORTON STREET, SUITE 500 EMERYVILLE CA 94608 1 1 0 0 President and CEO Common Stock 2019-07-03 4 M 0 9375 32 A 64533 D Common Stock 2019-07-03 4 M 0 787 10.35 A 65320 D Common Stock 2019-07-03 4 M 0 24063 10.20 A 89383 D Common Stock 2019-07-03 4 S 0 14353 47.7996 D 75030 D Common Stock 2019-07-03 4 S 0 19872 48.1629 D 55158 D Stock Option (Right to Buy) 32.0 2019-07-03 4 M 0 9375 0 D 2020-05-25 Common Stock 9375.0 3125 D Stock Option (Right to Buy) 10.35 2019-07-03 4 M 0 787 0 D 2026-03-13 Common Stock 787.0 164212 D Stock Option (Right to Buy) 10.2 2019-07-03 4 M 0 24063 0 D 2027-03-13 Common Stock 24063.0 85937 D The exercise and sale transactions reported in this Form 4 are made pursuant to a Rule 10b5-1 trading plan. Includes 443 shares acquired under the Company's Employee Stock Purchase Plan since the last Section 16 filing by the reporting person. The price reported in Column 4 is a weighted average price.These shares were sold in multiple transactions at prices ranging from $47.41 to $47.99, 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. The price reported in Column 4 is a weighted average price.These shares were sold in multiple transactions at prices ranging from $48.00 to $48.70, 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. Option was granted on 5/25/2010. 1/4th of the shares subject to the option vested and became exercisable on May 25, 2011 and 1/48th of the shares subject to the option vests monthly thereafter. Option was granted on 3/14/2016. 1/48th of the shares subject to the option vested and became exercisable on April 14, 2016 and 1/48th of the shares subject to the option vests monthly thereafter, subject to the reporting person's continued service to the Company on the applicable vesting dates. Option was granted on 3/14/2017. 1/48th of the shares subject to the option vested and became exercisable on April 14, 2017 and 1/48th of the shares subject to the option vests monthly thereafter, subject to the reporting person's continued service to the Company on the applicable vesting dates. /s/ Thomas Doyle, Attorney-in-fact for Stephen Farr 2019-07-05