0001375151-19-000048.txt : 20190402 0001375151-19-000048.hdr.sgml : 20190402 20190402171220 ACCESSION NUMBER: 0001375151-19-000048 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190329 FILED AS OF DATE: 20190402 DATE AS OF CHANGE: 20190402 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: 19726196 MAIL ADDRESS: STREET 1: 3655 NOBEL DRIVE, SUITE 260 CITY: SAN DIEGO STATE: CA ZIP: 92122 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 wf-form4_155423952274020.xml FORM 4 X0306 4 2019-03-29 0 0001375151 ZOGENIX, INC. ZGNX 0001257386 HAWLEY ROGER C/O ZOGENIX, INC. 5959 HORTON STREET, SUITE 500 EMERYVILLE CA 94608 1 0 0 0 Common Stock 2019-03-29 4 M 0 5000 20 A 15575 D Common Stock 2019-03-29 4 S 0 5000 55 D 10575 D Common Stock 2019-03-29 4 M 0 15700 33.92 A 26275 D Common Stock 2019-03-29 4 S 0 15700 55 D 10575 D Stock Option (Right to Buy) 20.0 2019-03-29 4 M 0 5000 0 D 2019-09-01 Common Stock 5000.0 2500 D Stock Option (Right to Buy) 33.92 2019-03-29 4 M 0 15700 0 D 2021-03-01 Common Stock 15700.0 20624 D The exercise and sale transactions reported in this Form 4 are made pursuant to a Rule 10b5-1 trading plan. The Option was granted on September 1, 2009 and vests in a series of twenty-four (24) 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. The 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. Effective March 31, 2019, Mr. Hawley resigned from the Company's Board of Directors. As a result, Mr. Hawley is no longer subject to Section 16 in connection with his transactions in the equity securities of the Company and therefore will no longer report any such transactions on Form 4 or Form 5. /s/ Thomas Doyle, Attorney-in-fact for Roger Hawley 2019-04-02