Form Type: 4

SEC EDGAR Link
Acccession Number:0001375151-20-000034
Date:2020-03-15
Issuer: ZOGENIX, INC. (ZGNX)
Original Submission Date:

Reporting Person:

SMITH MICHAEL P
C/O ZOGENIX, INC.
5959 HORTON STREET, SUITE 500 EMERYVILLE, CA 94608

Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
Title of SecurityTransaction Date2a. Deemed Execution Date Transaction CodeSharesAcquired or DisposedPrice per share 5. Amount of Securities Beneficially Owned Following Reported Transaction 6. Ownership Form Direct or IndirectNature of Indirect Ownership
COMMON STOCK 2020-03-15 M 1,563 a $0.00 2,950 direct
COMMON STOCK 2020-03-15 F 775 d $22.01 2,175 direct
COMMON STOCK 2020-03-15 M 2,032 a $0.00 4,207 direct
COMMON STOCK 2020-03-15 F 1,008 d $22.01 3,199 direct
Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, convertible securities
Title of Derivative Security Conversion or Exercise Price of Derivative Security Transaction Date Deemed Execution Date Transaction Code Number of Derivative Securities Acquired (A) or Disposed of (D) Date ExercisableExpiration Date Title and Amount of Securities Underlying Derivative Security Price of Derivative Security Number of derivative Securities Beneficially Owned Following Reported Transaction(s) Ownership Form: Direct (D) or Indirect (I) Nature of Indirect Beneficial Ownership
RESTRICTED STOCK UNITS 0.0 2020-03-15 deemed execution date M 1,563 (d) common stock 1,563 $0.00 3,124 direct
RESTRICTED STOCK UNITS 0.0 2020-03-15 deemed execution date M 2,032 (d) common stock 2,032 $0.00 6,093 direct
Footnotes
IDfootnote
f1 represents vesting of one-fourth (1/4) of restricted stock units granted on march 15, 2018.
f2 represents shares withheld to satisfy tax withholding obligations in connection with the vesting of shares of restricted stock units described in footnote 1.
f3 represents vesting of one-fourth (1/4) of restricted stock units granted on march 22, 2019.
f4 represents shares withheld to satisfy tax withholding obligations in connection with the vesting of shares of restricted stock units described in footnote 3.
f5 each restricted stock unit represents a contingent right to receive one share of zogenix common stock.
f6 the restricted stock units vests in four equal installments on each of march 15, 2019, 2020, 2021 and 2022, subject to the reporting person's continuous service to the company on such vesting date.
f7 not applicable.
f8 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.

Elevate your investments