0001375151-19-000084.txt : 20190701 0001375151-19-000084.hdr.sgml : 20190701 20190701204342 ACCESSION NUMBER: 0001375151-19-000084 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190627 FILED AS OF DATE: 20190701 DATE AS OF CHANGE: 20190701 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Smith Michael P CENTRAL INDEX KEY: 0001355576 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 19935087 MAIL ADDRESS: STREET 1: 887 GREAT NORTHERN WAY CITY: VANCOUVER STATE: A1 ZIP: V5T 4T5 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_156202820828426.xml FORM 4 X0306 4 2019-06-27 0 0001375151 ZOGENIX, INC. ZGNX 0001355576 Smith Michael P C/O ZOGENIX, INC. 5959 HORTON STREET, SUITE 500 EMERYVILLE CA 94608 0 1 0 0 EVP, CFO, Treasurer & Sec. Common Stock 2019-06-27 4 M 0 15000 10.35 A 16387 D Common Stock 2019-06-27 4 S 0 15000 46.32 D 1387 D Stock Option (Right to Buy) 10.35 2019-06-27 4 M 0 15000 0 D 2027-01-16 Common Stock 15000.0 120000 D The exercise and sale transaction reported in this Form 4 is made pursuant to a Rule 10b5-1 trading plan previously entered into by the reporting person. Includes 127 shares purchased under the Company's Employee Stock Purchase Plan which were not previously reported pursuant to the exemption under Rule 16b-3(c). Option vests over four years at the rate of 25% on January 16, 2018, the first anniversary of the holder's date of grant, with the balance vesting in equal monthly installments over the remaining 36 months, subject to the reporting person's continued employment or service to the Company on each vesting date. /s/ Thomas Doyle, Attorney-in-fact for Michael Smith 2019-07-01