Filing Details

Accession Number:
0001375151-18-000011
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-03-14 16:15:52
Reporting Period:
2018-03-12
Accepted Time:
2018-03-14 16:15:52
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
1279735 C Louis Bock 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 2018-03-12 218 $28.00 218 No 4 M Indirect See foonote
Common Stock Acquisiton 2018-03-12 218 $20.00 436 No 4 M Indirect See footnote
Common Stock Acquisiton 2018-03-12 218 $32.00 654 No 4 M Indirect See foonote
Common Stock Acquisiton 2018-03-12 1,562 $30.96 2,216 No 4 M Indirect See foonote
Common Stock Acquisiton 2018-03-12 6,250 $15.04 8,466 No 4 M Indirect See foonote
Common Stock Acquisiton 2018-03-12 4,375 $14.88 12,841 No 4 M Indirect See foonote
Common Stock Acquisiton 2018-03-12 5,625 $12.00 18,466 No 4 M Indirect See foonote
Common Stock Acquisiton 2018-03-12 6,250 $15.52 24,716 No 4 M Indirect See foonote
Common Stock Disposition 2018-03-12 24,716 $44.83 0 No 4 S Indirect See foonote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Indirect See foonote
No 4 M Indirect See footnote
No 4 M Indirect See foonote
No 4 M Indirect See foonote
No 4 M Indirect See foonote
No 4 M Indirect See foonote
No 4 M Indirect See foonote
No 4 M Indirect See foonote
No 4 S Indirect See foonote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option (Right to Buy) Disposition 2018-03-12 218 $0.00 218 $28.00
Common Stock Stock Option (Right to Buy) Disposition 2018-03-12 218 $0.00 218 $20.00
Common Stock Stock Option (Right to Buy) Disposition 2018-03-12 218 $0.00 218 $32.00
Common Stock Stock Option (Right to Buy) Disposition 2018-03-12 1,562 $0.00 1,562 $30.96
Common Stock Stock Option (Right to Buy) Disposition 2018-03-12 6,250 $0.00 6,250 $15.04
Common Stock Stock Option (Right to Buy) Disposition 2018-03-12 4,375 $0.00 4,375 $14.88
Common Stock Stock Option (Right to Buy) Disposition 2018-03-12 5,625 $0.00 5,625 $12.00
Common Stock Stock Option (Right to Buy) Disposition 2018-03-12 6,250 $0.00 6,250 $15.52
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 2018-10-20 No 4 M Indirect
0 2019-09-01 No 4 M Indirect
0 2020-05-30 No 4 M Indirect
0 2021-05-24 No 4 M Indirect
0 2022-04-27 No 4 M Indirect
0 2022-06-05 No 4 M Indirect
0 2023-06-18 No 4 M Indirect
0 2024-05-21 No 4 M Indirect
Footnotes
  1. 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.
  2. 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.
  3. Fully vested.