SMITH MICHAEL P (EVP, CFO, Treasurer & Sec.) exercised options at ZOGENIX, INC.

Option exercise — a mechanical event triggered by vesting or expiry. Not a discretionary conviction trade.

M · 3 exercises

SMITH MICHAEL P

Filed: 3/17/2021ACC: 0001375151-21-000022

InsiderSMITH MICHAEL PCIK 1355576

→

IssuerZOGENIX, INC.CIK 1375151

Officer· EVP, CFO, Treasurer & Sec.

Since Mar 2019

-1.81K

Net shares

Net seller

$37.4K

Total sold

Open market trades

0B · 0S

Total transactions

5.22K acquired · 7.02K disposed

Non-Derivative Transactions6

Common Stock

Direct

M · Option Exercise

+1.56K

Price / share

—

Trade value

—

% of position

43.3%

3/15/2021

3.61K→5.17K

Common Stock

Direct

F · Tax Withholding

−541.00

Price / share

$20.70

Trade value

$11.20K

% of position

10.5%

3/15/2021

5.17K→4.63K

Common Stock

Direct

M · Option Exercise

+2.03K

Price / share

—

Trade value

—

% of position

43.8%

3/15/2021

4.63K→6.66K

Common Stock

Direct

F · Tax Withholding

−703.00

Price / share

$20.70

Trade value

$14.55K

% of position

10.6%

3/15/2021

6.66K→5.96K

Common Stock

Direct

M · Option Exercise

+1.63K

Price / share

—

Trade value

—

% of position

27.3%

3/15/2021

5.96K→7.58K

Common Stock

Direct

F · Tax Withholding

−562.00

Price / share

$20.70

Trade value

$11.63K

% of position

7.4%

3/15/2021

7.58K→7.02K

Total

Net shares

+3.41K

Net value

-$37.38K

Security	Date	Type	Shares	Price / Share	Trade Value	% of Position	Held Before	Held After
Common Stock Direct	3/15/2021	M · Option Exercise	+1.56K	—	—	43.3%	3.61K	5.17K
Common Stock Direct	3/15/2021	F · Tax Withholding	−541.00	$20.70	$11.20K	10.5%	5.17K	4.63K
Common Stock Direct	3/15/2021	M · Option Exercise	+2.03K	—	—	43.8%	4.63K	6.66K
Common Stock Direct	3/15/2021	F · Tax Withholding	−703.00	$20.70	$14.55K	10.6%	6.66K	5.96K
Common Stock Direct	3/15/2021	M · Option Exercise	+1.63K	—	—	27.3%	5.96K	7.58K
Common Stock Direct	3/15/2021	F · Tax Withholding	−562.00	$20.70	$11.63K	7.4%	7.58K	7.02K
Total			+3.41K		-$37.38K

Derivative Transactions3

Restricted Stock Units

Direct

M · Option Exercise

Converts to

Common Stock

1.56K shares

−1.56K

Strike price

Held after

1.56K

Exercisable

—

3/15/2021

Restricted Stock Units

Direct

M · Option Exercise

Converts to

Common Stock

2.03K shares

−2.03K

Strike price

Held after

4.06K

Exercisable

—

3/15/2021

Restricted Stock Units

Direct

M · Option Exercise

Converts to

Common Stock

1.63K shares

−1.63K

Strike price

Held after

4.88K

Exercisable

—

3/15/2021

Security	Converts To	Date	Type	Shares	Exercisable	Held After
Restricted Stock Units Direct	Common Stock1.56K shares	3/15/2021	M · Option Exercise	−1.56K	—	1.56K
Restricted Stock Units Direct	Common Stock2.03K shares	3/15/2021	M · Option Exercise	−2.03K	—	4.06K
Restricted Stock Units Direct	Common Stock1.63K shares	3/15/2021	M · Option Exercise	−1.63K	—	4.88K