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