0001375151-19-000002.txt : 20190111 0001375151-19-000002.hdr.sgml : 20190111 20190111160702 ACCESSION NUMBER: 0001375151-19-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190110 FILED AS OF DATE: 20190111 DATE AS OF CHANGE: 20190111 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: 19522425 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: 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_154724080525499.xml FORM 4 X0306 4 2019-01-10 0 0001375151 ZOGENIX, INC. ZGNX 0001247666 FARR STEPHEN J C/O ZOGENIX, INC. 5858 HORTON STREET, SUITE 455 EMERYVILLE CA 94608 1 1 0 0 President and CEO Common Stock 2019-01-10 4 M 0 312 20 A 52259 D Common Stock 2019-01-10 4 S 0 312 45 D 51947 D Common Stock 2019-01-10 4 M 0 35001 10.35 A 86948 D Common Stock 2019-01-10 4 S 0 35001 45 D 51947 D Common Stock 2019-01-10 4 M 0 55000 10.20 A 106947 D Common Stock 2019-01-10 4 S 0 55000 45 D 51947 D Stock Option (Right to Buy) 20.0 2019-01-10 4 M 0 312 0 D 2019-08-31 Common Stock 312.0 5000 D Stock Option (Right to Buy) 10.35 2019-01-10 4 M 0 35001 0 D 2026-03-13 Common Stock 35001.0 164999 D Stock Option (Right to Buy) 10.2 2019-01-10 4 M 0 55000 0 D 2027-03-13 Common Stock 55000.0 110000 D The exercise and sale transactions reported in this Form 4 are made pursuant to a Rule 10b5-1 trading plan. The option award was granted on September 1, 2009 and vests in a series of twenty-four (24) successive, equal monthly installments beginning on the one-month anniversary of the grant date, subject to the Reporting Person's continued service to the Company on each applicable vesting date. The option award was granted on March 14, 2016 and vests in a series of forty-eight (48) successive, equal monthly installments beginning on the one-month anniversary of the grant date, subject to the Reporting Person's continued service to the Company on each applicable vesting date. The option award was granted on March 14, 2017 and vests in a series of forty-eight (48) successive, equal monthly installments beginning with the one-month anniversary of the grant date, subject to the Reporting Person's continued service to the Company on each applicable vesting date. /s/ Thomas Doyle, Attorney-in-fact for Stephen Farr 2019-01-11