ZOGENIX, INC. Forms 3, 4 and 5: Restricted Stock Units and Performance Rights
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 66 rows, 66 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2022-03-07: Reporting owner Smith Michael P; Form 4; Security Restricted Stock Units; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2022-03-07: Reporting owner Farfel Gail M; Form 4; Security Restricted Stock Units; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2022-03-07: Reporting owner Galer Bradley S.; Form 4; Security Restricted Stock Units; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2022-03-07: Reporting owner Mitchell Shawnte; Form 4; Security Restricted Stock Units; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2022-03-07 | Smith Michael P Officer (EVP, CFO & Treasurer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −35,499 0 owned after | no price filed | 2022-03-09 | |
| 2022-03-07 | Farfel Gail M Officer (See Remarks) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −40,187 0 owned after | no price filed | 2022-03-09 | |
| 2022-03-07 | Galer Bradley S. Officer (EVP & Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −45,499 0 owned after | no price filed | 2022-03-09 | |
| 2022-03-07 | Mitchell Shawnte Officer (EVP, GC & Secretary) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −25,000 0 owned after | no price filed | 2022-03-09 | |
| 2022-03-07 | FARR STEPHEN J Director, Officer (President & CEO) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −128,955 0 owned after | no price filed | 2022-03-09 | |
| 2022-03-07 | Sagrolikar Ashish M Officer (EVP & Chief Operating Officer) | 4 | Restricted Stock Units Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −75,312 0 owned after | no price filed | 2022-03-09 | |
| 2021-08-09 | Galer Bradley S. Officer (EVP/Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +5,000 5,000 owned after | $0.00 | 2021-08-11 | |
| 2021-08-09 | Sagrolikar Ashish M Officer (EVP & CHIEF OPERATING OFFICER) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $0.00 | 2021-08-11 | |
| 2021-07-02 | Sagrolikar Ashish M Officer (EVP & CHIEF COMMERCIAL OFFICER) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,750 3,750 owned after | $0.00 | 2021-07-06 | |
| 2021-03-26 | Galer Bradley S. Officer (EVP/Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $0.00 | 2021-03-30 | |
| 2021-03-26 | Smith Michael P Officer (EVP, CFO, Treasurer & Sec.) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $0.00 | 2021-03-30 | |
| 2021-03-26 | FARR STEPHEN J Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +46,665 46,665 owned after | $0.00 | 2021-03-30 | |
| 2021-03-26 | Sagrolikar Ashish M Officer (EVP & CHIEF COMMERCIAL OFFICER) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +25,000 25,000 owned after | $0.00 | 2021-03-30 | |
| 2021-03-26 | Mitchell Shawnte Officer (EVP, GC and Secretary) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +12,500 12,500 owned after | $0.00 | 2021-03-30 | |
| 2021-03-26 | Farfel Gail M Officer (EVP/Chief Development Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $0.00 | 2021-03-30 | |
| 2021-03-15 | Galer Bradley S. Officer (EVP/Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,562 1,562 owned after | $0.00 | 2021-03-17 | |
| 2021-03-15 | Galer Bradley S. Officer (EVP/Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,031 4,062 owned after | $0.00 | 2021-03-17 | |
| 2021-03-15 | Galer Bradley S. Officer (EVP/Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,625 4,875 owned after | $0.00 | 2021-03-17 | |
| 2021-03-15 | Smith Michael P Officer (EVP, CFO, Treasurer & Sec.) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,562 1,562 owned after | $0.00 | 2021-03-17 | |
| 2021-03-15 | Smith Michael P Officer (EVP, CFO, Treasurer & Sec.) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,031 4,062 owned after | $0.00 | 2021-03-17 | |
| 2021-03-15 | Smith Michael P Officer (EVP, CFO, Treasurer & Sec.) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,625 4,875 owned after | $0.00 | 2021-03-17 | |
| 2021-03-15 | FARR STEPHEN J Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 5,000 owned after | $0.00 | 2021-03-17 | |
| 2021-03-15 | FARR STEPHEN J Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 15,000 owned after | $0.00 | 2021-03-17 | |
| 2021-03-15 | FARR STEPHEN J Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −6,875 20,625 owned after | $0.00 | 2021-03-17 | |
| 2021-03-15 | Farfel Gail M Officer (EVP/Chief Development Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,625 1,625 owned after | $0.00 | 2021-03-17 | |
| 2021-03-15 | Farfel Gail M Officer (EVP/Chief Development Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,031 4,062 owned after | $0.00 | 2021-03-17 | |
| 2021-03-15 | Farfel Gail M Officer (EVP/Chief Development Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,500 4,500 owned after | $0.00 | 2021-03-17 | |
| 2021-03-15 | Sagrolikar Ashish M Officer (EVP & CHIEF COMMERCIAL OFFICER) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,031 4,062 owned after | $0.00 | 2021-03-17 | |
| 2021-03-15 | Sagrolikar Ashish M Officer (EVP & CHIEF COMMERCIAL OFFICER) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,500 7,500 owned after | $0.00 | 2021-03-17 | |
| 2020-07-02 | Sagrolikar Ashish M Officer (EVP & CHIEF COMMERCIAL OFFICER) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,750 7,500 owned after | $0.00 | 2020-07-06 | |
| 2020-06-25 | FARR STEPHEN J Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −27,500 0 owned after | $0.00 | 2020-06-29 | |
| 2020-06-25 | Farfel Gail M Officer (EVP/Chief Development Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −8,750 0 owned after | $0.00 | 2020-06-29 | |
| 2020-06-25 | Galer Bradley S. Officer (EVP/Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $0.00 | 2020-06-29 | |
| 2020-03-15 | FARR STEPHEN J Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 10,000 owned after | $0.00 | 2020-03-17 | |
| 2020-03-15 | FARR STEPHEN J Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 15,000 owned after | $0.00 | 2020-03-17 | |
| 2020-03-15 | Sagrolikar Ashish M Officer (EVP & CHIEF COMMERCIAL OFFICER) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,032 6,093 owned after | $0.00 | 2020-03-17 | |
| 2020-03-15 | Galer Bradley S. Officer (EVP/Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,563 3,124 owned after | $0.00 | 2020-03-17 | |
| 2020-03-15 | Galer Bradley S. Officer (EVP/Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,032 6,093 owned after | $0.00 | 2020-03-17 | |
| 2020-03-15 | Farfel Gail M Officer (EVP/Chief Development Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,625 3,250 owned after | $0.00 | 2020-03-17 | |
| 2020-03-15 | Farfel Gail M Officer (EVP/Chief Development Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,032 6,093 owned after | $0.00 | 2020-03-17 | |
| 2020-03-15 | Smith Michael P Officer (EVP, CFO, Treasurer & Sec.) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,563 3,124 owned after | $0.00 | 2020-03-17 | |
| 2020-03-15 | Smith Michael P Officer (EVP, CFO, Treasurer & Sec.) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −2,032 6,093 owned after | $0.00 | 2020-03-17 | |
| 2020-03-04 | Sagrolikar Ashish M Officer (EVP & CHIEF COMMERCIAL OFFICER) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $0.00 | 2020-03-06 | |
| 2020-03-04 | Smith Michael P Officer (EVP, CFO, Treasurer & Sec.) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,500 6,500 owned after | $0.00 | 2020-03-06 | |
| 2020-03-04 | Galer Bradley S. Officer (EVP/Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,500 6,500 owned after | $0.00 | 2020-03-06 | |
| 2020-03-04 | Farfel Gail M Officer (EVP/Chief Development Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,000 6,000 owned after | $0.00 | 2020-03-06 | |
| 2020-03-04 | FARR STEPHEN J Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,500 27,500 owned after | $0.00 | 2020-03-06 | |
| 2019-07-02 | Sagrolikar Ashish M Officer (EVP & CHIEF COMMERCIAL OFFICER) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,750 11,250 owned after | $0.00 | 2019-07-05 | |
| 2019-03-22 | Smith Michael P Officer (EVP, CFO, Treasurer & Sec.) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,125 8,125 owned after | $0.00 | 2019-03-26 | |
| 2019-03-22 | Sagrolikar Ashish M Officer (EVP & CHIEF COMMERCIAL OFFICER) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,125 8,125 owned after | $0.00 | 2019-03-26 | |
| 2019-03-22 | Galer Bradley S. Officer (EVP/Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,125 8,125 owned after | $0.00 | 2019-03-26 | |
| 2019-03-22 | FARR STEPHEN J Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $0.00 | 2019-03-26 | |
| 2019-03-22 | Farfel Gail M Officer (EVP/Chief Development Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,125 8,125 owned after | $0.00 | 2019-03-26 | |
| 2019-03-15 | Smith Michael P Officer (EVP, CFO, Treasurer & Sec.) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,563 4,687 owned after | $0.00 | 2019-03-19 | |
| 2019-03-15 | Galer Bradley S. Officer (EVP/Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,563 4,687 owned after | $0.00 | 2019-03-19 | |
| 2019-03-15 | FARR STEPHEN J Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 15,000 owned after | $0.00 | 2019-03-19 | |
| 2019-03-15 | Farfel Gail M Officer (EVP/Chief Development Officer) | 4 | Restricted Stock Units Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −1,625 4,875 owned after | $0.00 | 2019-03-19 | |
| 2018-07-02 | Sagrolikar Ashish M Officer (EVP & CHIEF COMMERCIAL OFFICER) | 4 | Restricted Stock Units Non-derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +15,000 15,000 owned after | $0.00 | 2018-07-05 | |
| 2018-03-15 | Smith Michael P Officer (EVP, CFO, Treasurer & Sec.) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,250 6,250 owned after | $0.00 | 2018-03-16 | |
| 2018-03-15 | Galer Bradley S. Officer (EVP/Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,250 6,250 owned after | $0.00 | 2018-03-16 | |
| 2018-03-15 | Farfel Gail M Officer (EVP/Chief Development Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +6,500 6,500 owned after | $0.00 | 2018-03-16 | |
| 2018-03-15 | FARR STEPHEN J Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +20,000 20,000 owned after | $0.00 | 2018-03-16 | |
| 2017-03-14 | Farfel Gail M Officer (EVP/Chief Development Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,750 8,750 owned after | $0.00 | 2017-03-16 | |
| 2017-03-14 | Galer Bradley S. Officer (EVP/Chief Medical Officer) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +10,000 10,000 owned after | $0.00 | 2017-03-16 | |
| 2017-03-14 | FARR STEPHEN J Director, Officer (President and CEO) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +27,500 27,500 owned after | $0.00 | 2017-03-16 | |
| 2017-03-14 | Darcis Thierry J.P. Officer (EVP / General Manager, Europe) | 4 | Restricted Stock Units Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +8,750 8,750 owned after | $0.00 | 2017-03-16 |