0000899243-17-028504.txt : 20171211
0000899243-17-028504.hdr.sgml : 20171211
20171211201355
ACCESSION NUMBER: 0000899243-17-028504
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171207
FILED AS OF DATE: 20171211
DATE AS OF CHANGE: 20171211
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HAWLEY ROGER
CENTRAL INDEX KEY: 0001257386
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34962
FILM NUMBER: 171250707
MAIL ADDRESS:
STREET 1: 3280 BAYSHORE BOULEVARD
CITY: BRISBANE
STATE: CA
ZIP: 94005
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: 5858 HORTON STREET, #455
CITY: EMERYVILLE
STATE: CA
ZIP: 94608
BUSINESS PHONE: (510) 550-8300
MAIL ADDRESS:
STREET 1: 5858 HORTON STREET, #455
CITY: EMERYVILLE
STATE: CA
ZIP: 94608
FORMER COMPANY:
FORMER CONFORMED NAME: ZOGENIX INC
DATE OF NAME CHANGE: 20060911
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-12-07
0
0001375151
ZOGENIX, INC.
ZGNX
0001257386
HAWLEY ROGER
C/O ZOGENIX. INC.
5858 HORTON STREET, #455
EMERYVILLE
CA
94608
1
0
0
0
Common Stock
2017-12-07
4
M
0
15000
15.04
A
105575
D
Common Stock
2017-12-07
4
S
0
15000
36.9163
D
90575
D
Common Stock
2017-12-07
4
M
0
12370
10.64
A
102945
D
Common Stock
2017-12-07
4
S
0
12370
36.40
D
90575
D
Common Stock
2017-12-07
4
M
0
9000
12.80
A
99575
D
Common Stock
2017-12-07
4
S
0
9000
36.40
D
90575
D
Common Stock
2017-12-07
4
M
0
20000
8.99
A
110575
D
Common Stock
2017-12-07
4
S
0
20000
36.40
D
90575
D
Common Stock
2017-12-08
4
M
0
11797
15.04
A
102372
D
Common Stock
2017-12-08
4
S
0
11797
37.0182
D
90575
D
Common Stock
2017-12-11
4
M
0
44741
15.04
A
135316
D
Common Stock
2017-12-11
4
S
0
44741
36.8407
D
90575
D
Common Stock
2017-12-11
4
M
0
8462
10.64
A
99199
D
Common Stock
2017-12-11
4
S
0
8462
36.8407
D
90575
D
Common Stock
2017-12-11
4
M
0
10000
12.75
A
100575
D
Common Stock
2017-12-11
4
S
0
10000
36.8407
D
90575
D
Stock Option (Right to Buy)
15.04
2017-12-07
4
M
0
15000
0.00
D
2022-04-27
Common Stock
15000
109999
D
Stock Option (Right to Buy)
10.64
2017-12-07
4
M
0
12370
0.00
D
2025-03-17
Common Stock
12370
18879
D
Stock Option (Right to Buy)
12.80
2017-12-07
4
M
0
9000
0.00
D
2025-06-17
Common Stock
9000
0
D
Stock Option (Right to Buy)
8.99
2017-12-07
4
M
0
20000
0.00
D
2026-07-12
Common Stock
20000
0
D
Stock Option (Right to Buy)
15.04
2017-12-08
4
M
0
11797
0.00
D
2022-04-27
Common Stock
11797
98202
D
Stock Option (Right to Buy)
15.04
2017-12-11
4
M
0
44741
0.00
D
2022-04-27
Common Stock
44741
53461
D
Stock Option (Right to Buy)
10.64
2017-12-11
4
M
0
8462
0.00
D
2025-03-17
Common Stock
8462
10417
D
Stock Option (Right to Buy)
12.75
2017-12-11
4
M
0
10000
0.00
D
2027-05-22
Common Stock
10000
10000
D
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.90 to $36.95, inclusive. The Reporting Person undertakes to provide, upon request to the Securities Exchange Commission staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.00 to $37.05, inclusive. The Reporting Person undertakes to provide, upon request to the Securities Exchange Commission staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $36.80 to $36.90, inclusive. The Reporting Person undertakes to provide, upon request to the Securities Exchange Commission staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
The option was granted on April 27, 2012 and vested in a series of forty-eight (48) successive, equal monthly installments beginning on April 27, 2012, subject to the Reporting Person's continued employment with or service to the company on each vesting date.
The option was granted on March 17, 2015 and vested in a series of forty-eight (48) successive, equal monthly installments beginning on March 17, 2015, subject to the Reporting Person's continued employment with or service to the company on each such vesting date.
The option was granted on June 18, 2015 and vested in a series of twelve (12) successive, equal monthly installments beginning on June 18, 2015, subject to the Reporting Person's continued service to the company on each vesting date.
The option was granted on July 13, 2016 and vested in a series of twelve (12) successive, equal monthly installments beginning on August 1, 2016, subject to the Reporting Person's continued service to the company on each vesting date.
The option was granted on May 23, 2017 and vests in a series of twelve (12) successive, equal monthly installments beginning on May 23, 2017, subject to the Reporting Person's continued service to the company on each vesting date.
/s/ Thomas Doyle, Attorney-in-fact
2017-12-11