0001375151-18-000011.txt : 20180314
0001375151-18-000011.hdr.sgml : 20180314
20180314161552
ACCESSION NUMBER: 0001375151-18-000011
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: BOCK LOUIS C
CENTRAL INDEX KEY: 0001279735
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34962
FILM NUMBER: 18689647
MAIL ADDRESS:
STREET 1: C/O BANKAMERICA VENTURES
STREET 2: 950 TOWER LANE STE 700
CITY: FOSTER CITY
STATE: CA
ZIP: 94404
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_152105853768378.xml
FORM 4
X0306
4
2018-03-12
0
0001375151
ZOGENIX, INC.
ZGNX
0001279735
BOCK LOUIS C
C/O ZOGENIX, INC.
5858 HORTON STREET, SUITE 455
EMERYVILLE
CA
94608
1
0
0
0
Common Stock
2018-03-12
4
M
0
218
28
A
218
I
See foonote
Common Stock
2018-03-12
4
M
0
218
20
A
436
I
See footnote
Common Stock
2018-03-12
4
M
0
218
32
A
654
I
See foonote
Common Stock
2018-03-12
4
M
0
1562
30.96
A
2216
I
See foonote
Common Stock
2018-03-12
4
M
0
6250
15.04
A
8466
I
See foonote
Common Stock
2018-03-12
4
M
0
4375
14.88
A
12841
I
See foonote
Common Stock
2018-03-12
4
M
0
5625
12
A
18466
I
See foonote
Common Stock
2018-03-12
4
M
0
6250
15.52
A
24716
I
See foonote
Common Stock
2018-03-12
4
S
0
24716
44.8347
D
0
I
See foonote
Stock Option (Right to Buy)
28.0
2018-03-12
4
M
0
218
0
D
2018-10-20
Common Stock
218.0
0
I
See footnote
Stock Option (Right to Buy)
20.0
2018-03-12
4
M
0
218
0
D
2019-09-01
Common Stock
218.0
0
I
See footnote
Stock Option (Right to Buy)
32.0
2018-03-12
4
M
0
218
0
D
2020-05-30
Common Stock
218.0
0
I
See footnote
Stock Option (Right to Buy)
30.96
2018-03-12
4
M
0
1562
0
D
2021-05-24
Common Stock
1562.0
0
I
See footnote
Stock Option (Right to Buy)
15.04
2018-03-12
4
M
0
6250
0
D
2022-04-27
Common Stock
6250.0
0
I
See footnote
Stock Option (Right to Buy)
14.88
2018-03-12
4
M
0
4375
0
D
2022-06-05
Common Stock
4375.0
0
I
See foonote
Stock Option (Right to Buy)
12.0
2018-03-12
4
M
0
5625
0
D
2023-06-18
Common Stock
5625.0
0
I
See footnote
Stock Option (Right to Buy)
15.52
2018-03-12
4
M
0
6250
0
D
2024-05-21
Common Stock
6250.0
0
I
See footnote
Pursuant to the policies of Scale Venture Partners II, LP ("Scale Partners") and Scale Venture Management II, LLC ("Scale Management II") and Scale Management LLC ("Scale Management"), the Reporting Person is deemed to hold the reported security for the benefit of Scale Management. The stock options were exercised and the underlying shares of Common Stock were sold at the direction of Scale Partners and Scale Management II. Scale Management may be deemed the indirect beneficial owner of the reported securities. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
The shares were sold at prices ranging between $44.75 and $44.95. The reporting person will provide upon request to the SEC, the issuer or security holder of the issuer, full information regarding the number of shares sold at each separate price.
Fully vested.
/s/ Thomas Doyle, Attorney-in-fact
2018-03-14