0000899243-17-007840.txt : 20170316 0000899243-17-007840.hdr.sgml : 20170316 20170316200030 ACCESSION NUMBER: 0000899243-17-007840 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170314 FILED AS OF DATE: 20170316 DATE AS OF CHANGE: 20170316 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FARR STEPHEN J CENTRAL INDEX KEY: 0001247666 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 17696155 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-03-14 0 0001375151 ZOGENIX, INC. ZGNX 0001247666 FARR STEPHEN J C/O ZOGENIX, INC. 5858 HORTON STREET, STE. 455 EMERYVILLE CA 94608 1 1 0 0 President and CEO Stock Option (Right to Buy) 10.20 2017-03-14 4 A 0 165000 0.00 A 2027-03-13 Common Stock 165000 165000 D Restricted Stock Units 2017-03-14 4 A 0 27500 0.00 A 2022-03-13 Common Stock 27500 27500 D The option was granted on March 14, 2017 and vests in a series of forty-eight (48) successive, equal monthly installments beginning on April 14, 2017, subject to the reporting person's continued employment with the Company on each vesting date. Each restricted stock unit ("RSU") represents a contingent right to receive one share of ZGNX common stock. The RSUs shall vest upon the approval by the U.S. Food and Drug Administration of the Company's New Drug Application for ZX008, provided such approval occurs within five years following the grant date, subject to the option recipient's continuous service to the Company on such vesting date. /s/ Thomas Doyle, Attorney-in-fact 2017-03-16