0001375151-20-000004.txt : 20200110 0001375151-20-000004.hdr.sgml : 20200110 20200110161519 ACCESSION NUMBER: 0001375151-20-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200108 FILED AS OF DATE: 20200110 DATE AS OF CHANGE: 20200110 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: 20521222 MAIL ADDRESS: STREET 1: SFARR@ZOGENIX.COM CITY: EMERYVILLE STATE: CA ZIP: 94608 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_157869090162160.xml FORM 4 X0306 4 2020-01-08 0 0001375151 ZOGENIX, INC. ZGNX 0001247666 FARR STEPHEN J C/O ZOGENIX, INC. 5959 HORTON STREET, SUITE 500 EMERYVILLE CA 94608 1 1 0 0 President and CEO Common Stock 2020-01-08 4 M 0 29559 10.35 A 86267 D Common Stock 2020-01-08 4 M 0 4666 10.64 A 90933 D Common Stock 2020-01-08 4 S 0 28955 51.8327 D 61978 D Common Stock 2020-01-08 4 S 0 5270 52.2021 D 56708 D Stock Option (Right to Buy) 10.35 2020-01-08 4 M 0 29559 0 D 2026-03-13 Common Stock 29559.0 100428 D Stock Option (Right to Buy) 10.64 2020-01-08 4 M 0 4666 0 D 2025-03-17 Common Stock 4666.0 26583 D The exercise and sale transactions reported in this Form 4 are made pursuant to a Rule 10b5-1 trading plan. Includes 181 shares acquired under the Company's Employee Stock Purchase Plan since the last Section 16 filing by the Reporting Person. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $51.28 to $51.99, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, additional information regarding the number of shares sold at each separate price within the range set forth in this footnote. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $52.00 to $52.54, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, additional information regarding the number of shares sold at each separate price within the range set forth in this footnote. The option was granted on March 14, 2016 and vests in a series of forty-eight (48) successive, equal monthly installments measured from the date of grant, subject to the Reporting Person's continuous service to the Company on each vesting date. The Option was granted on March 17, 2015 and vests in a series of forty-eight (48) successive, equal monthly installments measured from the date of grant, subject to the Reporting Person's continued service to the Company on each vesting date. /s/ Thomas Doyle, Attorney-in-fact for Stephen Farr 2020-01-10