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