Filing Details
- Accession Number:
- 0001375151-18-000010
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-03-14 16:15:34
- Reporting Period:
- 2018-03-12
- Accepted Time:
- 2018-03-14 16:15:34
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1375151 | Zogenix Inc. | ZGNX | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1257386 | Roger Hawley | C/O Zogenix, Inc. 5858 Horton Street, Suite 455 Emeryville CA 94608 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2018-03-12 | 7,240 | $28.00 | 97,815 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-03-12 | 7,240 | $44.97 | 90,575 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2018-03-13 | 4,009 | $28.00 | 94,584 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-03-13 | 16,798 | $15.04 | 111,382 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-03-13 | 1,953 | $10.64 | 113,335 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2018-03-13 | 5,000 | $12.75 | 118,335 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-03-13 | 27,760 | $44.65 | 90,575 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-03-12 | 7,240 | $0.00 | 7,240 | $28.00 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-03-13 | 4,009 | $0.00 | 4,009 | $28.00 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-03-13 | 16,798 | $0.00 | 16,798 | $15.04 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-03-13 | 1,953 | $0.00 | 1,953 | $10.64 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2018-03-13 | 5,000 | $0.00 | 5,000 | $12.75 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 4,009 | 2018-10-20 | No | 4 | M | Direct | |
| 0 | 2018-10-20 | No | 4 | M | Direct | |
| 36,663 | 2022-04-27 | No | 4 | M | Direct | |
| 8,464 | 2025-03-17 | No | 4 | M | Direct | |
| 5,000 | 2027-05-22 | No | 4 | M | Direct |
Footnotes
- 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.
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