Form Type: 4

SEC EDGAR Link
Accession Number:0001375151-20-000116
Date:2020-06-25
Issuer: ZOGENIX, INC. (ZGNX)
Original Submission Date:

Reporting Person:

FARFEL GAIL M
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 2020-06-25 M 8,750 a $0.00 14,223 direct
COMMON STOCK 2020-06-25 F 3,044 d $0.00 11,179 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 2020-06-25 deemed execution date M 8,750 (d) common stock 8,750 $0.00 0 direct
Footnotes
IDfootnote
f1 the restricted stock units (rsus) were granted on march 14, 2017, with 100% of the rsus to vest upon approval of the company's new drug application (nda) by the u.s. food and drug administration for fintepla. the nda was approved on june 25, 2020.
f2 includes 425 shares acquired under the company's employee stock purchase plan since the last section 16 filing by the reporting person.
f3 represents shares withheld to satisfy tax withholding obligations in connection with the vesting of shares of rsus described in footnote 1.
f4 each rsu represents a contingent right to receive one share of zgnx common stock.
f5 not applicable.
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