0001375151-18-000010.txt : 20180314 0001375151-18-000010.hdr.sgml : 20180314 20180314161534 ACCESSION NUMBER: 0001375151-18-000010 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180312 FILED AS OF DATE: 20180314 DATE AS OF CHANGE: 20180314 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: 18689641 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: 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_152105852006937.xml FORM 4 X0306 4 2018-03-12 0 0001375151 ZOGENIX, INC. ZGNX 0001257386 HAWLEY ROGER C/O ZOGENIX, INC. 5858 HORTON STREET, SUITE 455 EMERYVILLE CA 94608 1 0 0 0 Common Stock 2018-03-12 4 M 0 7240 28 A 97815 D Common Stock 2018-03-12 4 S 0 7240 44.9654 D 90575 D Common Stock 2018-03-13 4 M 0 4009 28 A 94584 D Common Stock 2018-03-13 4 M 0 16798 15.04 A 111382 D Common Stock 2018-03-13 4 M 0 1953 10.64 A 113335 D Common Stock 2018-03-13 4 M 0 5000 12.75 A 118335 D Common Stock 2018-03-13 4 S 0 27760 44.6483 D 90575 D Stock Option (Right to Buy) 28.0 2018-03-12 4 M 0 7240 0 D 2018-10-20 Common Stock 7240.0 4009 D Stock Option (Right to Buy) 28.0 2018-03-13 4 M 0 4009 0 D 2018-10-20 Common Stock 4009.0 0 D Stock Option (Right to Buy) 15.04 2018-03-13 4 M 0 16798 0 D 2022-04-27 Common Stock 16798.0 36663 D Stock Option (Right to Buy) 10.64 2018-03-13 4 M 0 1953 0 D 2025-03-17 Common Stock 1953.0 8464 D Stock Option (Right to Buy) 12.75 2018-03-13 4 M 0 5000 0 D 2027-05-22 Common Stock 5000.0 5000 D The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.85 to $45.05, inclusive. The Reporting Person undertakes to provide, upon request to the Securities Exchange Commission staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $44.25 to $45.20, inclusive. The Reporting Person undertakes to provide, upon request to the Securities Exchange Commission staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. The Option was granted on October 21, 2008 and 1/4 of the total number of shares of common stock subject to the option vested on October 21, 2009, and 1/48th of the total remaining number of shares of common stock subject to the option vested monthly thereafter, subject to the Reporting Person's continued employment or service relationship on each such vesting date. The option was granted on April 27, 2012 and vested in a series of forty-eight (48) successive, equal monthly installments beginning on April 27, 2012, subject to the Reporting Person's continued employment with or service to the company on each vesting date. The option was granted on March 17, 2015 and vested in a series of forty-eight (48) successive, equal monthly installments beginning on March 17, 2015, subject to the Reporting Person's continued employment with or service to the company on each such vesting date. The option was granted on May 23, 2017 and vests in a series of twelve (12) successive, equal monthly installments beginning on May 23, 2017, subject to the Reporting Person's continued service to the company on each vesting date. /s/ Thomas Doyle, Attorney-in-fact 2018-03-14