-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, E9AWafchvtrHafzeICoaO7EcDTA1LLG5qlNtw6p3v0MeeQjrxf3OK8paqoeNdF+y z0+WWOkBI3ScS85SNYnilA== 0001181431-10-058038.txt : 20101129 0001181431-10-058038.hdr.sgml : 20101129 20101129214957 ACCESSION NUMBER: 0001181431-10-058038 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101129 FILED AS OF DATE: 20101129 DATE AS OF CHANGE: 20101129 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: 101220498 MAIL ADDRESS: STREET 1: 3280 BAYSHORE BOULEVARD CITY: BRISBANE STATE: CA ZIP: 94005 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: 12671 HIGH BLUFF DRIVE STREET 2: SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92130 BUSINESS PHONE: (858) 259-1165 MAIL ADDRESS: STREET 1: 12671 HIGH BLUFF DRIVE STREET 2: SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92130 FORMER COMPANY: FORMER CONFORMED NAME: ZOGENIX INC DATE OF NAME CHANGE: 20060911 4 1 rrd292242.xml FORM 4 X0303 4 2010-11-29 0 0001375151 ZOGENIX, INC. ZGNX 0001257386 HAWLEY ROGER C/O ZOGENIX, INC. 12671 HIGH BLUFF DR., SUITE 200 SAN DIEGO CA 92130 1 1 0 0 Chief Executive Officer Common Stock 2010-11-29 4 C 0 10000 A 10000 D Series A-1 Convertible Preferred Stock 2010-11-29 4 C 0 100000 D Common Stock 10000 0 D The Series A-1 Convertible Preferred Stock automatically converted to Common Stock at the closing of the Issuer's initial public offering on November 29, 2010 at a conversion ratio one share of Common Stock for every ten shares of Series A-1 Convertible Preferred Stock, rounded down to the next whole number, for no additional consideration. /s/ Trisha Millican, Attorney-in-Fact for Roger Hawley 2010-11-29 -----END PRIVACY-ENHANCED MESSAGE-----