Statement of Changes in Beneficial Ownership (4)

Date : 01/11/2019 @ 9:08PM
Source : Edgar (US Regulatory)
Stock : Zogenix, Inc. (ZGNX)
Quote : 43.15  0.65 (1.53%) @ 9:30PM

Statement of Changes in Beneficial Ownership (4)

FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

FARR STEPHEN J
2. Issuer Name and Ticker or Trading Symbol

ZOGENIX, INC. [ ZGNX ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__ X __ Director                      _____ 10% Owner
__ X __ Officer (give title below)      _____ Other (specify below)
President and CEO
(Last)          (First)          (Middle)

C/O ZOGENIX, INC., 5858 HORTON STREET, SUITE 455
3. Date of Earliest Transaction (MM/DD/YYYY)

1/10/2019
(Street)

EMERYVILLE, CA 94608
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   1/10/2019     M    312   A $20   52259   D    
Common Stock   1/10/2019     S    312   D (1) $45   51947   D    
Common Stock   1/10/2019     M    35001   A $10.35   86948   D    
Common Stock   1/10/2019     S    35001   D (1) $45   51947   D    
Common Stock   1/10/2019     M    55000   A $10.20   106947   D    
Common Stock   1/10/2019     S    55000   D (1) $45   51947   D    

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right to Buy)   $20.0   1/10/2019     M         312      (2) 8/31/2019   Common Stock   312.0   $0   5000   D    
Stock Option (Right to Buy)   $10.35   1/10/2019     M         35001      (3) 3/13/2026   Common Stock   35001.0   $0   164999   D    
Stock Option (Right to Buy)   $10.2   1/10/2019     M         55000      (4) 3/13/2027   Common Stock   55000.0   $0   110000   D    

Explanation of Responses:
(1)  The exercise and sale transactions reported in this Form 4 are made pursuant to a Rule 10b5-1 trading plan.
(2)  The option award was granted on September 1, 2009 and vests in a series of twenty-four (24) successive, equal monthly installments beginning on the one-month anniversary of the grant date, subject to the Reporting Person's continued service to the Company on each applicable vesting date.
(3)  The option award was granted on March 14, 2016 and vests in a series of forty-eight (48) successive, equal monthly installments beginning on the one-month anniversary of the grant date, subject to the Reporting Person's continued service to the Company on each applicable vesting date.
(4)  The option award was granted on March 14, 2017 and vests in a series of forty-eight (48) successive, equal monthly installments beginning with the one-month anniversary of the grant date, subject to the Reporting Person's continued service to the Company on each applicable vesting date.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
FARR STEPHEN J
C/O ZOGENIX, INC.
5858 HORTON STREET, SUITE 455
EMERYVILLE, CA 94608
X
President and CEO

Signatures
/s/ Thomas Doyle, Attorney-in-fact for Stephen Farr 1/11/2019
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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