0001375151-19-000130.txt : 20191127 0001375151-19-000130.hdr.sgml : 20191127 20191127161402 ACCESSION NUMBER: 0001375151-19-000130 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191125 FILED AS OF DATE: 20191127 DATE AS OF CHANGE: 20191127 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: 191258016 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_157488922249946.xml FORM 4 X0306 4 2019-11-25 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 2019-11-25 4 M 0 15000 10.35 A 16387 D Common Stock 2019-11-25 4 S 0 15000 48 D 1387 D Stock Option (Right to Buy) 10.35 2019-11-25 4 M 0 15000 0 D 2027-01-16 Common Stock 15000.0 90000 D The exercise and sale transactions reported in this Form 4 are made pursuant to a Rule 10b5-1 trading plan. 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 2019-11-27