ZOGENIX, INC. Forms 3, 4 and 5: Other
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 46 rows, 46 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2015-03-17: Reporting owner Galer Bradley S.; Form 4; Security Right to buy; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2015-03-17: Reporting owner RHOADS ANN D; Form 4; Security Right to buy; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2015-03-17: Reporting owner FARR STEPHEN J; Form 4; Security Right to buy; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2015-03-17: Reporting owner HAWLEY ROGER; Form 4; Security Right to buy stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2015-03-17 | Galer Bradley S. Officer (Chief Medical Officer) | 4 | Right to buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +225,000 225,000 owned after | $1.33 exercise price | 2015-03-17 | |
| 2015-03-17 | RHOADS ANN D Officer (EVP, CFO, Treasurer & Sec.) | 4 | Right to buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +225,000 225,000 owned after | $1.33 exercise price | 2015-03-17 | |
| 2015-03-17 | FARR STEPHEN J Director, Officer (President and COO) | 4 | Right to buy Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $1.33 exercise price | 2015-03-17 | |
| 2015-03-17 | HAWLEY ROGER Director, Officer (Chief Executive Officer) | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $1.33 exercise price | 2015-03-17 | |
| 2015-02-06 | TANNENBAUM RENEE P Director | 4 | Right to buy common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $1.30 exercise price | 2015-02-10 | |
| 2014-06-02 | Galer Bradley S. Officer (Chief Medical Officer) | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +65,000 490,000 owned after | $2.08 exercise price | 2014-06-04 | |
| 2014-05-21 | WIGGINS MARK C Director | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 205,000 owned after | $1.94 exercise price | 2014-05-22 | |
| 2014-05-21 | GARNER CAM L Director | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 197,750 owned after | $1.94 exercise price | 2014-05-22 | |
| 2014-05-21 | MAST ERLE T Director | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 233,500 owned after | $1.94 exercise price | 2014-05-22 | |
| 2014-05-21 | BREITMEYER JAMES B Director | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 125,000 owned after | $1.94 exercise price | 2014-05-22 | |
| 2014-05-21 | BREITMEYER JAMES B Director | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 125,000 owned after | $1.94 exercise price | 2014-05-22 | |
| 2014-03-25 | BREITMEYER JAMES B Director | 4 | Right to buy common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +75,000 75,000 owned after | $3.07 exercise price | 2014-03-26 | |
| 2014-03-25 | RHOADS ANN D Officer (EVP, CFO, Treasurer & Sec.) | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +165,000 1,284,000 owned after | $3.07 exercise price | 2014-03-26 | |
| 2014-03-25 | HAWLEY ROGER Director, Officer (Chief Executive Officer) | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +600,000 3,025,000 owned after | $3.07 exercise price | 2014-03-26 | |
| 2014-03-25 | FARR STEPHEN J Director, Officer (President and COO) | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +350,000 2,055,000 owned after | $3.07 exercise price | 2014-03-26 | |
| 2014-03-25 | Shively Richard Scott Officer (Chief Commercial Officer) | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +165,000 876,000 owned after | $3.07 exercise price | 2014-03-26 | |
| 2013-12-17 | Galer Bradley S. Officer (Chief Medical Officer) | 4 | Right to buy common stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +425,000 425,000 owned after | $3.02 exercise price | 2013-12-18 | |
| 2013-06-18 | GARNER CAM L Director | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 146,000 owned after | $1.50 exercise price | 2013-06-19 | |
| 2013-06-18 | MAST ERLE T Director | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 183,500 owned after | $1.50 exercise price | 2013-06-19 | |
| 2013-06-18 | WIGGINS MARK C Director | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 155,000 owned after | $1.50 exercise price | 2013-06-19 | |
| 2013-06-18 | BOCK LOUIS C Director | 4 | Right to buy stock Derivative · Indirect · See Footnote 2 | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +45,000 155,250 owned after | $1.50 exercise price | 2013-06-19 | |
| 2013-03-15 | HAWLEY ROGER Director, Officer (Chief Executive Officer) | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +540,000 2,140,000 owned after | $1.99 exercise price | 2013-03-15 | |
| 2013-03-15 | HAWLEY ROGER Director, Officer (Chief Executive Officer) | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +225,000 2,365,000 owned after | $1.99 exercise price | 2013-03-15 | |
| 2013-03-15 | RHOADS ANN D Officer (EVP, CFO, Treasurer & Sec.) | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +240,000 1,023,000 owned after | $1.99 exercise price | 2013-03-15 | |
| 2013-03-15 | RHOADS ANN D Officer (EVP, CFO, Treasurer & Sec.) | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 1,073,000 owned after | $1.99 exercise price | 2013-03-15 | |
| 2013-03-15 | FARR STEPHEN J Director, Officer (President and COO) | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +430,000 1,530,000 owned after | $1.99 exercise price | 2013-03-15 | |
| 2013-03-15 | FARR STEPHEN J Director, Officer (President and COO) | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +125,000 1,655,000 owned after | $1.99 exercise price | 2013-03-15 | |
| 2013-03-15 | Robinson Cynthia Y Officer (Chief Development Officer) | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +125,000 675,000 owned after | $1.99 exercise price | 2013-03-15 | |
| 2013-03-15 | Robinson Cynthia Y Officer (Chief Development Officer) | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 725,000 owned after | $1.99 exercise price | 2013-03-15 | |
| 2013-03-15 | Shively Richard Scott Officer (Chief Commercial Officer) | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +240,000 640,000 owned after | $1.99 exercise price | 2013-03-15 | |
| 2013-03-15 | Shively Richard Scott Officer (Chief Commercial Officer) | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 665,000 owned after | $1.99 exercise price | 2013-03-15 | |
| 2012-11-29 | Shively Richard Scott Officer (Chief Commercial Officer) | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −400,000 400,000 owned after | $2.60 exercise price | 2012-11-30 | |
| 2012-06-06 | GARNER CAM L Director | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 101,000 owned after | $1.86 exercise price | 2012-06-06 | |
| 2012-06-06 | MINOCHERHOMJEE ARDA PHD Director | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 106,750 owned after | $1.86 exercise price | 2012-06-06 | |
| 2012-06-06 | MAST ERLE T Director | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 138,500 owned after | $1.86 exercise price | 2012-06-06 | |
| 2012-06-06 | WHEELER KURT Director, 10% Owner | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 110,250 owned after | $1.86 exercise price | 2012-06-06 | |
| 2012-06-06 | WIGGINS MARK C Director | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +35,000 110,000 owned after | $1.86 exercise price | 2012-06-06 | |
| 2012-04-27 | MINOCHERHOMJEE ARDA PHD Director | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 71,750 owned after | $1.88 exercise price | 2012-04-30 | |
| 2012-04-27 | HAWLEY ROGER Director, Officer (Chief Executive Officer) | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,000,000 1,600,000 owned after | $1.88 exercise price | 2012-04-30 | |
| 2012-04-27 | RHOADS ANN D Officer (EVP, CFO, Treasurer & Sec.) | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +450,000 783,000 owned after | $1.88 exercise price | 2012-04-30 | |
| 2012-04-27 | FARR STEPHEN J Director, Officer (President and COO) | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +700,000 1,100,000 owned after | $1.88 exercise price | 2012-04-30 | |
| 2012-04-27 | Robinson Cynthia Y Officer (Chief Development Officer) | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +350,000 550,000 owned after | $1.88 exercise price | 2012-04-30 | |
| 2012-04-27 | WIGGINS MARK C Director | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 75,000 owned after | $1.88 exercise price | 2012-04-30 | |
| 2012-04-27 | MAST ERLE T Director | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 103,500 owned after | $1.88 exercise price | 2012-04-30 | |
| 2012-04-27 | GARNER CAM L Director | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 66,000 owned after | $1.88 exercise price | 2012-04-30 | |
| 2012-04-27 | WHEELER KURT Director, 10% Owner | 4 | Right to buy stock Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +50,000 75,250 owned after | $1.88 exercise price | 2012-04-30 |