ZOGENIX, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 13 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-05-24: Reporting owner WHEELER KURT; Form 4; Security Director Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-05-24: Reporting owner MINOCHERHOMJEE ARDA PHD; Form 4; Security Director Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-05-24: Reporting owner MINOCHERHOMJEE ARDA PHD; Form 4; Security Director Option (right to buy); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2011-05-24: Reporting owner BLAIR JAMES C; Form 4; Security Stock Option (Right to Buy); 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 |
|---|---|---|---|---|---|---|---|---|
| 2011-05-24 | WHEELER KURT Director, 10% Owner | 4 | Director Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | −12,500 12,500 owned after | $3.87 exercise price | 2011-09-21 | |
| 2011-05-24 | MINOCHERHOMJEE ARDA PHD Director | 4 | Director Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,750 1,750 owned after | $3.87 exercise price | 2011-05-26 | |
| 2011-05-24 | MINOCHERHOMJEE ARDA PHD Director | 4 | Director Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $3.87 exercise price | 2011-05-26 | |
| 2011-05-24 | BLAIR JAMES C Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $3.87 exercise price | 2011-05-26 | |
| 2011-05-24 | GARNER CAM L Director | 4 | Director Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $3.87 exercise price | 2011-05-25 | |
| 2011-05-24 | MAST ERLE T Director | 4 | Director Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $3.87 exercise price | 2011-05-25 | |
| 2011-05-24 | WIGGINS MARK C Director | 4 | Director Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $3.87 exercise price | 2011-05-25 | |
| 2011-05-24 | BOCK LOUIS C Director, 10% Owner | 4 | Stock Option (Right to Buy) Derivative · Indirect · See FN | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $3.87 exercise price | 2011-05-25 | |
| 2011-03-01 | HAWLEY ROGER Director, Officer (Chief Executive Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +300,000 300,000 owned after | $4.24 exercise price | 2011-03-03 | |
| 2011-03-01 | FARR STEPHEN J Director, Officer (President and COO) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +250,000 250,000 owned after | $4.24 exercise price | 2011-03-03 | |
| 2011-03-01 | RHOADS ANN D Officer (EVP, CFO, Treasurer & Sec.) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +180,000 180,000 owned after | $4.24 exercise price | 2011-03-03 | |
| 2011-03-01 | MAST ERLE T Director | 4 | Director Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,500 27,500 owned after | $4.24 exercise price | 2011-03-03 | |
| 2011-03-01 | Robinson Cynthia Y Officer (Chief Development Officer) | 4 | Employee Stock Option (right to buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +110,000 110,000 owned after | $4.24 exercise price | 2011-03-03 |