ZOGENIX, INC. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 33 rows in 2018. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2018-10-18: Reporting owner FARR STEPHEN J; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2018-10-04: Reporting owner Farfel Gail M; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2018-10-02: Reporting owner MAST ERLE T; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2018-10-02: Reporting owner MAST ERLE T; Form 4; Security Stock Option (Right to Buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2018-10-18 | FARR STEPHEN J Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −937 0 owned after | $28.00 | 2018-10-19 | |
| 2018-10-04 | Farfel Gail M Officer (EVP/Chief Development Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,961 30,289 owned after | $13.96 | 2018-10-09 | |
| 2018-10-02 | MAST ERLE T Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,250 0 owned after | $28.00 exercise price | 2018-10-04 | |
| 2018-10-02 | MAST ERLE T Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −218 0 owned after | $20.00 exercise price | 2018-10-04 | |
| 2018-09-04 | Farfel Gail M Officer (EVP/Chief Development Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,000 37,250 owned after | $13.96 | 2018-09-05 | |
| 2018-08-08 | Farfel Gail M Officer (EVP/Chief Development Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,000 44,250 owned after | $13.96 exercise price | 2018-08-10 | |
| 2018-07-02 | Sagrolikar Ashish M Officer (EVP & CHIEF COMMERCIAL OFFICER) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $43.70 exercise price | 2018-07-05 | |
| 2018-06-12 | Farfel Gail M Officer (EVP/Chief Development Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 51,250 owned after | $13.96 exercise price | 2018-06-13 | |
| 2018-05-23 | WIGGINS MARK C Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $41.68 exercise price | 2018-05-24 | |
| 2018-05-23 | TANNENBAUM RENEE P Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $41.68 exercise price | 2018-05-24 | |
| 2018-05-23 | MAST ERLE T Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $41.68 exercise price | 2018-05-24 | |
| 2018-05-23 | HAWLEY ROGER Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $41.68 exercise price | 2018-05-24 | |
| 2018-05-23 | GARNER CAM L Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $41.68 exercise price | 2018-05-24 | |
| 2018-05-23 | BREITMEYER JAMES B Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $41.68 exercise price | 2018-05-24 | |
| 2018-05-23 | BOCK LOUIS C Director | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $41.68 exercise price | 2018-05-24 | |
| 2018-05-16 | GARNER CAM L Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −218 0 owned after | $28.00 exercise price | 2018-05-17 | |
| 2018-03-15 | Smith Michael P Officer (EVP, CFO, Treasurer & Sec.) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +37,500 37,500 owned after | $42.65 exercise price | 2018-03-16 | |
| 2018-03-15 | Galer Bradley S. Officer (EVP/Chief Medical Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +37,500 37,500 owned after | $42.65 exercise price | 2018-03-16 | |
| 2018-03-15 | Farfel Gail M Officer (EVP/Chief Development Officer) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +40,000 40,000 owned after | $42.65 exercise price | 2018-03-16 | |
| 2018-03-15 | FARR STEPHEN J Director, Officer (President and CEO) | 4 | Stock Option (Right to Buy) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +160,000 160,000 owned after | $42.65 exercise price | 2018-03-16 | |
| 2018-03-13 | HAWLEY ROGER Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,009 0 owned after | $28.00 exercise price | 2018-03-14 | |
| 2018-03-13 | HAWLEY ROGER Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −16,798 36,663 owned after | $15.04 exercise price | 2018-03-14 | |
| 2018-03-13 | HAWLEY ROGER Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,953 8,464 owned after | $10.64 exercise price | 2018-03-14 | |
| 2018-03-13 | HAWLEY ROGER Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 5,000 owned after | $12.75 exercise price | 2018-03-14 | |
| 2018-03-12 | BOCK LOUIS C Director | 4 | Stock Option (Right to Buy) Derivative · Indirect · See footnote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −218 0 owned after | $28.00 exercise price | 2018-03-14 | |
| 2018-03-12 | BOCK LOUIS C Director | 4 | Stock Option (Right to Buy) Derivative · Indirect · See footnote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −218 0 owned after | $20.00 exercise price | 2018-03-14 | |
| 2018-03-12 | BOCK LOUIS C Director | 4 | Stock Option (Right to Buy) Derivative · Indirect · See footnote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −218 0 owned after | $32.00 exercise price | 2018-03-14 | |
| 2018-03-12 | BOCK LOUIS C Director | 4 | Stock Option (Right to Buy) Derivative · Indirect · See footnote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,562 0 owned after | $30.96 exercise price | 2018-03-14 | |
| 2018-03-12 | BOCK LOUIS C Director | 4 | Stock Option (Right to Buy) Derivative · Indirect · See footnote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 0 owned after | $15.04 exercise price | 2018-03-14 | |
| 2018-03-12 | BOCK LOUIS C Director | 4 | Stock Option (Right to Buy) Derivative · Indirect · See foonote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −4,375 0 owned after | $14.88 exercise price | 2018-03-14 | |
| 2018-03-12 | BOCK LOUIS C Director | 4 | Stock Option (Right to Buy) Derivative · Indirect · See footnote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,625 0 owned after | $12.00 exercise price | 2018-03-14 | |
| 2018-03-12 | BOCK LOUIS C Director | 4 | Stock Option (Right to Buy) Derivative · Indirect · See footnote | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,250 0 owned after | $15.52 exercise price | 2018-03-14 | |
| 2018-03-12 | HAWLEY ROGER Director | 4 | Stock Option (Right to Buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −7,240 4,009 owned after | $28.00 exercise price | 2018-03-14 |