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