0001375151-20-000002.txt : 20200103 0001375151-20-000002.hdr.sgml : 20200103 20200103161301 ACCESSION NUMBER: 0001375151-20-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200102 FILED AS OF DATE: 20200103 DATE AS OF CHANGE: 20200103 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: 20505471 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_157808596439199.xml FORM 4 X0306 4 2020-01-02 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 2020-01-02 4 M 0 22500 10.35 A 23887 D Common Stock 2020-01-02 4 S 0 14950 51.643 D 8937 D Common Stock 2020-01-02 4 S 0 7550 52.0897 D 1387 D Stock Option (Right to Buy) 10.35 2020-01-02 4 M 0 22500 0 D 2027-01-16 Common Stock 22500.0 67500 D The exercise and sale transactions reported in this Form 4 are made pursuant to a Rule 10b5-1 trading plan. The price reported in Column 4 is a weighted average price.These shares were sold in multiple transactions at prices ranging from $51.25 to $51.95, 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 $51.96 to $52.50, 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. 25% of the options vest on the first anniversary of the grant date, and the remaining options vest in equal monthly installments over the three year period thereafter, so that all of the options will be vested on the fourth anniversary of the grant date, 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 2020-01-03