Statement of Changes in Beneficial Ownership (4)
18 March 2021 - 7:02AM
Edgar (US Regulatory)
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
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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
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1. Name and Address of Reporting Person
*
Sagrolikar Ashish M |
2. Issuer Name and Ticker or Trading Symbol
ZOGENIX, INC.
[
ZGNX
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) EVP & CHIEF COMMERCIAL OFFICER |
(Last)
(First)
(Middle)
C/O ZOGENIX, INC., 5959 HORTON STREET, SUITE 500 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
3/15/2021 |
(Street)
EMERYVILLE, CA 94608
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 3/15/2021 | | M | | 2031 (1) | A | $0 | 11588 (2) | D | |
Common Stock | 3/15/2021 | | F | | 604 (3) | D | $20.70 | 10984 | D | |
Common Stock | 3/15/2021 | | M | | 2500 (4) | A | $0 | 13484 (2) | D | |
Common Stock | 3/15/2021 | | F | | 743 (5) | D | $20.70 | 12741 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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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 |
Restricted Stock Units | (6) | 3/15/2021 | | M | | | 2031 | (7) | (8) | Common Stock | 2031.0 | $0 | 4062 | D | |
Restricted Stock Units | (6) | 3/15/2021 | | M | | | 2500 | (9) | (8) | Common Stock | 2500.0 | $0 | 7500 | D | |
Explanation of Responses: |
(1) | Represents vesting of one-fourth (1/4) of restricted stock units granted to the reporting person on March 22, 2019. |
(2) | Includes 421 shares acquired under the Company's Employee Stock Purchase Plan since the last Section 16 filing by the reporting person. |
(3) | Represents shares withheld to satisfy tax withholding obligations in connection with the vesting of shares of restricted stock units described in footnote 1. |
(4) | Represents vesting of one-fourth (1/4) of restricted stock units granted on March 4, 2020. |
(5) | Represents shares withheld to satisfy tax withholding obligations in connection with the vesting of shares of restricted stock units described in footnote 4. |
(6) | Each restricted stock unit represents a contingent right to receive one share of Zogenix common stock. |
(7) | The restricted stock units vest in four equal installments on each of March 15, 2020, 2021, 2022 and 2023, subject to the reporting person's continuous service to the Company on such vesting date. |
(8) | Not applicable. |
(9) | The restricted stock units vests in four equal installments on each of March 15, 2021, 2022, 2023 and 2024, subject to the reporting person's continuous service to the Company on such vesting date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Sagrolikar Ashish M C/O ZOGENIX, INC. 5959 HORTON STREET, SUITE 500 EMERYVILLE, CA 94608 |
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| EVP & CHIEF COMMERCIAL OFFICER |
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Signatures
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/s/ Thomas Doyle, Attorney-in-fact for Ashish Sagrolikar | | 3/17/2021 |
**Signature of Reporting Person | Date |
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