144 1 form144.htm
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
OMB Number:   3235‑0101
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FORM 144

NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
 
           SEC USE ONLY
DOCUMENT SEQUENCE NO.
      
CUSIP NUMBER
       
WORK LOCATION
       
ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale
or executing a sale directly with a market maker
1 (a) NAME OF ISSUER (Please type or print)
 
Zogenix, Inc
(b) IRS IDENT. NO.
 
20-5300780
(c) S.E.C. FILE NO.
 
001-34962
   
1 (d) ADDRESS OF ISSUERSTREETCITYSTATEZIP CODE
(e) TELEPHONE NO.
 
12400 High Bluff Drive    Suite 650                                                                  San Diego      CA                               92130
AREA CODE
858
NUMBER
259-1165
2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD
Federated Kaufmann Fund, a portfolio of Federated Equity Funds
 
(b) RELATIONSHIP TO ISSUER
Fund and other funds managed by common adviser are collectively 10% or greater shareholder
(c) ADDRESS STREETCITYSTATEZIP CODE
4000 ERICSSON DR    WARRENDALE, PA 15086-7561

INSTRUCTION:  The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.
3 (a)
(b)
SEC USE ONLY 
(c)
(d)
(e)
(f)
(g)
Title of the
Class of
Securities
To Be Sold
Name and Address of Each Broker
Through Whom the Securities are
to be Offered or Each Market Maker
who is Acquiring the Securities
Broker-Dealer
File Number
Number of Shares
or Other Units
To Be Sold
(See instr. 3(c))
Aggregate
Market
Value
(See instr. 3(d))
Number of Shares
or Other Units
Outstanding
(See instr. 3(e))
Approximate
Date of Sale
(See instr. 3(f))
(MO.  DAY  YR.)
Name of Each
Securities
Exchange
(See instr. 3(g))
  Common
  Stock

Liquidnet Inc
498 7TH Ave
NY, NY 10018
 
 
Cowen and Company
599 Lexington Avenue
New York, NY 10022
 
 
Jones Trading Institutional Services
32133 Lindero Canyon Road, Suite 208
Westlake Village, CA 91361
 
                                                            

4,076,276

$4,973,057

153,000,000

03/12/15

NASDAQ

Potential persons who are to respond to the collection of information contained in this form are not
required to respond unless the form displays a currently valid OMB control number.

INSTRUCTIONS:
 
1.
(a)
Name of issuer
3.
(a)
Title of the class of securities to be sold
 
(b)
Issuer’s I.R.S. Identification Number
 
(b)
Name and address of each broker through whom the securities are intended to be sold
 
(c)
Issuer’s S.E.C. file number, if any
 
(c)
Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
 
(d)
(e)
Issuer’s telephone number, including area code
Issuer’s address, including zip code
 
(d)
Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice
 
2.
 
(a)
 
Name of person for whose account the securities are to be sold
 
(e)
Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer
 
(b)
Such person’s I.R.S. identification number, if such person is an entity
 
(f)
Approximate date on which the securities are to be sold
 
(c)
Such person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)
 
(g)
Name of each securities exchange, if any, on which the securities are intended to be sold
 
(d)
Such person’s address, including zip code
   
 

TABLE I ‑ SECURITIES TO BE SOLD
Furnish the following information with respect to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other consideration therefor:
 
Title of
the Class
Date you Acquired
Nature of Acquisition Transaction
Name of Person from Whom Acquired
(If gift, also give date donor acquired)
Amount of Securities Acquired
Date of Payment
Nature of Payment
Common
Stock

07/24/2012

Secondary Offering

Wells Fargo as lead underwriter for company

16,500,000

07/27/12

Cash
 
 
 
 
 
  INSTRUCTIONS:
If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.
     

TABLE II ‑ SECURITIES SOLD DURING THE PAST 3 MONTHS
Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.
 
Name and Address of Seller
 
Title of Securities Sold
 
Date of Sale
Amount of
Securities Sold

Gross Proceeds
Federated Kaufmann Fund, a portfolio of Federated
Equity Funds
 
 
 
 
   Common Stock
2/17/15
2/18/15
2/19/15
3/11/15
1,205,419
194,422
326,435
5,773,724
$1,684,661
$272,186
$453,867
$7,168,314
REMARKS:

 
INSTRUCTIONS:
See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this  notice.
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
 
 
March 12, 2015
Federated Kaufmann Fund, a portfolio of Federated Equity Funds
DATE OF NOTICE
By:  Federated Global Investment Management Corp. as attorney-in-fact
 
  /s/ Lawrence Auriana
 
 Lawrence Auriana
 
Senior Vice President, Federated Global Investment Management Corp.
 
(SIGNATURE)
 
         
 
DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION.
The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall
be manually signed. Any copies not manually signed shall bear typed or printed signatures.
 IF RELYING ON RULE 10B5-1
                                       
                                                                                                                                                                                                        
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)