0001375151-18-000050.txt : 20180613 0001375151-18-000050.hdr.sgml : 20180613 20180613205756 ACCESSION NUMBER: 0001375151-18-000050 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180612 FILED AS OF DATE: 20180613 DATE AS OF CHANGE: 20180613 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Farfel Gail M CENTRAL INDEX KEY: 0001614780 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34962 FILM NUMBER: 18897939 MAIL ADDRESS: STREET 1: 142 TEMPLE STREET STREET 2: SUITE 205 CITY: NEW HAVEN STATE: CT ZIP: 06510 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 4 1 wf-form4_152893786064891.xml FORM 4 X0306 4 2018-06-12 0 0001375151 ZOGENIX, INC. ZGNX 0001614780 Farfel Gail M C/O ZOGENIX, INC. 5858 HORTON STREET, SUITE 455 EMERYVILLE CA 94608 0 1 0 0 EVP/Chief Development Officer Common Stock 2018-06-12 4 M 0 5000 13.96 A 12261 D Common Stock 2018-06-12 4 S 0 5118 45 D 7143 D Stock Option (Right to Buy) 13.96 2018-06-12 4 M 0 5000 0 D 2025-06-30 Common Stock 5000.0 51250 D The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 16, 2018. Includes 7,261 shares of common stock previously purchased by the Reporting Person pursuant to the Issuer's employee stock purchase plan. The option was granted on July 1, 2015, which is the vesting commencement date. One-fourth of the shares subject to the option will vest on the first anniversary of the vesting commencement date, and the remaining shares subject to the option shall vest in thirty-six equal monthly installments over the three-year period thereafter, subject to the Reporting Person's continued employment with the Company on each vesting date /s/ Thomas Doyle, Attorney-in-fact for Gail Farfel 2018-06-13