Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ProMIS Neurosciences Inc.PMN · Entity 6643 | Director · Chief Executive Officer | August 23, 2023 | August 25, 2023 |
| Tectonic Therapeutic, Inc.AVRO · Entity 5328 | Director | June 06, 2023 | June 08, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ProMIS Neurosciences Inc.
Report date August 23, 2023 · Filed August 25, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 55,192 |
Reported balance
After 2023-08-23 transaction · row 1
1 source rowRow 1 · 2023-08-23 · Grant · Acquired 53,192 · Balance 55,192 F1: On August 23, 2023, pursuant to a Unit Purchase Agreement entered into by the Company with selected investors (the "Offering"), the Reporting Person acquired 53,192 common share units (each, a "Common Share Unit"), each unit consisting of one of the Company's common shares, no par value (the "Common Shares"), and one warrant to purchase one Common Share. The purchase price for each Common Share Unit was $1.88 per Common Share Unit. |
| Warrants to purchase Common SharesSEC Table II · derivative / convertible security · Conversion / exercise price $1.75 · Expires 2029-02-21 | Direct | 53,192 |
Reported balance
After 2023-08-23 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-08-23 · Grant · Acquired 53,192 · Balance 53,192 F1: On August 23, 2023, pursuant to a Unit Purchase Agreement entered into by the Company with selected investors (the "Offering"), the Reporting Person acquired 53,192 common share units (each, a "Common Share Unit"), each unit consisting of one of the Company's common shares, no par value (the "Common Shares"), and one warrant to purchase one Common Share. The purchase price for each Common Share Unit was $1.88 per Common Share Unit. |
Filing footnotes · ownership attribution and instrument terms
F1: On August 23, 2023, pursuant to a Unit Purchase Agreement entered into by the Company with selected investors (the "Offering"), the Reporting Person acquired 53,192 common share units (each, a "Common Share Unit"), each unit consisting of one of the Company's common shares, no par value (the "Common Shares"), and one warrant to purchase one Common Share. The purchase price for each Common Share Unit was $1.88 per Common Share Unit.
Tectonic Therapeutic, Inc.
Report date June 06, 2023 · Filed June 08, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.09 · Expires 2033-06-05 | Direct | 17,643 |
Reported balance
After 2023-06-06 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-06-06 · Grant · Acquired 17,643 · Balance 17,643 F1: The option shall vest in full upon the earlier of June 6, 2024 or the date of the Issuer's 2024 Annual Meeting of Stockholders, subject to the reporting person's continued service as a director through such vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: The option shall vest in full upon the earlier of June 6, 2024 or the date of the Issuer's 2024 Annual Meeting of Stockholders, subject to the reporting person's continued service as a director through such vesting date.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
DURECT CORP
Report date September 11, 2025 · Filed September 12, 2025
Section 16 reporting ended · disclosed 2025-09-12. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2025-09-11 transaction · row 1
1 source rowRow 1 · 2025-09-11 · Other · Disposed 15,500 · Balance 0 F1: In connection with the terms of an Agreement and Plan of Merger, dated as of July 28, 2025 (as amended, the "Merger Agreement"), by and among the Issuer, Bausch Health Americas, Inc. ("Parent"), BHC Lyon Merger Sub, Inc., a direct wholly owned subsidiary of Parent ("Purchaser"), and solely for the purposes of Section 6.10 of the Merger Agreement, Bausch Health Companies Inc. ("BHC"), Purchaser completed a tender offer for shares of the Issuer's Common Stock. F2: (Continued from footnote 1) Tendering stockholders received a consideration of $1.75 per share, net to the seller of such shares in cash, without interest thereon and less any applicable withholding taxes (the "Cash Amount"), plus one non-tradeable contingent value right per share, representing the contractual right to receive the pro rata portion, in cash, of two milestone payments of up to $350,000,000 in the aggregate, minus any amount actually paid to option holders under a retention plan in respect of the applicable milestone, in each case, without interest thereon and less any applicable withholding taxes, upon achievement of the specified milestones. After completion of the tender offer, Purchaser merged with and into the Issuer (the "Merger"), effective as of September 11, 2025 (the "Effective Time"), with the Issuer continuing as the surviving entity and a wholly owned subsidiary of Parent. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.68 · Expires 2029-04-23 | Direct | 0 |
Reported balance
After 2025-09-11 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2025-09-11 · Disposition to issuer · Disposed 7,000 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger. F4: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $23.30 · Expires 2030-06-17 | Direct | 0 |
Reported balance
After 2025-09-11 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-09-11 · Disposition to issuer · Disposed 5,500 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger. F4: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.60 · Expires 2031-06-15 | Direct | 0 |
Reported balance
After 2025-09-11 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2025-09-11 · Disposition to issuer · Disposed 5,500 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger. F4: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.46 · Expires 2032-06-15 | Direct | 0 |
Reported balance
After 2025-09-11 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2025-09-11 · Disposition to issuer · Disposed 5,500 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger. F4: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.29 · Expires 2033-06-21 | Direct | 0 |
Reported balance
After 2025-09-11 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2025-09-11 · Disposition to issuer · Disposed 5,500 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger. F4: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the terms of an Agreement and Plan of Merger, dated as of July 28, 2025 (as amended, the "Merger Agreement"), by and among the Issuer, Bausch Health Americas, Inc. ("Parent"), BHC Lyon Merger Sub, Inc., a direct wholly owned subsidiary of Parent ("Purchaser"), and solely for the purposes of Section 6.10 of the Merger Agreement, Bausch Health Companies Inc. ("BHC"), Purchaser completed a tender offer for shares of the Issuer's Common Stock.
F2: (Continued from footnote 1) Tendering stockholders received a consideration of $1.75 per share, net to the seller of such shares in cash, without interest thereon and less any applicable withholding taxes (the "Cash Amount"), plus one non-tradeable contingent value right per share, representing the contractual right to receive the pro rata portion, in cash, of two milestone payments of up to $350,000,000 in the aggregate, minus any amount actually paid to option holders under a retention plan in respect of the applicable milestone, in each case, without interest thereon and less any applicable withholding taxes, upon achievement of the specified milestones. After completion of the tender offer, Purchaser merged with and into the Issuer (the "Merger"), effective as of September 11, 2025 (the "Effective Time"), with the Issuer continuing as the surviving entity and a wholly owned subsidiary of Parent.
F3: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger.
F4: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors.
ZOGENIX, INC.
Report date March 07, 2022 · Filed March 09, 2022
Section 16 reporting ended · disclosed 2022-03-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2022-03-07 transaction · row 1
1 source rowRow 1 · 2022-03-07 · Other · Disposed 16,606 · Balance 0 F2: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated January 18, 2022, (the "Merger Agreement"), among UCB S.A., a societe anonyme formed under the laws of Belgium ("Parent"), Zinc Merger Sub, Inc., a Delaware corporation and an indirect wholly owned subsidiary of Parent ("Purchaser") and the Issuer, pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of March 7, 2022 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was canceled and converted into the right to receive $26.00 in cash (the "Cash Amount") plus a contingent value right ("CVR"), which CVR represents the right to receive a contingent payment of $2.00 which amount will become payable, if at all, if a specified milestone is achieved on or prior to December 31, 2023. F1: Includes 1,830 Shares (as defined below) acquired under the Issuer's Employee Stock Purchase Plan since the last filing by the Reporting Person. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.96 · Expires 2025-06-30 | Direct | 0 |
Reported balance
After 2022-03-07 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2022-03-07 · Disposition to issuer · Disposed 30,289 · Balance 0 F3: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F4: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $13.32 · Expires 2025-10-04 | Direct | 0 |
Reported balance
After 2022-03-07 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-03-07 · Disposition to issuer · Disposed 14,250 · Balance 0 F3: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F4: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.35 · Expires 2026-03-13 | Direct | 0 |
Reported balance
After 2022-03-07 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2022-03-07 · Disposition to issuer · Disposed 45,000 · Balance 0 F3: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F4: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.20 · Expires 2027-03-13 | Direct | 0 |
Reported balance
After 2022-03-07 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2022-03-07 · Disposition to issuer · Disposed 52,500 · Balance 0 F3: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F4: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $27.36 · Expires 2030-03-03 | Direct | 0 |
Reported balance
After 2022-03-07 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2022-03-07 · Disposition to issuer · Disposed 35,000 · Balance 0 F3: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F4: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration. |
| Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $18.76 · Expires 2031-03-25 | Direct | 0 |
Reported balance
After 2022-03-07 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2022-03-07 · Disposition to issuer · Disposed 30,000 · Balance 0 F3: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F4: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2022-03-07 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2022-03-07 · Disposition to issuer · Disposed 40,187 · Balance 0 F5: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. F7: Pursuant to the terms of the Merger Agreement, each restricted stock unit (including performance stock units) was canceled and converted into the right to receive an amount in cash equal to (i) the product of (A) the total number of Shares subject to (or deliverable under) such restricted stock unit (with any performance conditions deemed achieved at maximum levels with respect to any performance stock unit) multiplied by (B) the Cash Amount, and (ii) one CVR with respect to each Share subject to such restricted stock unit. F3: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"), F4: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration. F6: Not applicable. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes 1,830 Shares (as defined below) acquired under the Issuer's Employee Stock Purchase Plan since the last filing by the Reporting Person.
F2: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated January 18, 2022, (the "Merger Agreement"), among UCB S.A., a societe anonyme formed under the laws of Belgium ("Parent"), Zinc Merger Sub, Inc., a Delaware corporation and an indirect wholly owned subsidiary of Parent ("Purchaser") and the Issuer, pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of March 7, 2022 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was canceled and converted into the right to receive $26.00 in cash (the "Cash Amount") plus a contingent value right ("CVR"), which CVR represents the right to receive a contingent payment of $2.00 which amount will become payable, if at all, if a specified milestone is achieved on or prior to December 31, 2023.
F3: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"),
F4: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration.
F5: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
F6: Not applicable.
F7: Pursuant to the terms of the Merger Agreement, each restricted stock unit (including performance stock units) was canceled and converted into the right to receive an amount in cash equal to (i) the product of (A) the total number of Shares subject to (or deliverable under) such restricted stock unit (with any performance conditions deemed achieved at maximum levels with respect to any performance stock unit) multiplied by (B) the Cash Amount, and (ii) one CVR with respect to each Share subject to such restricted stock unit.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 25, 2020 Filed Jun 29, 2020 21:54 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Tax withholdingCommon Stock | 3,044 | $0.00 | $0.00 |
DisclosureSEC source: 0001375151-20-000116 · wf-form4_159348200314523.xml · nonDerivative · entry 2 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,179 F3 · shares: Represents shares withheld to satisfy tax withholding obligations in connection with the vesting of shares of RSUs described in footnote 1. Read SEC document |
| June 25, 2020 Filed Jun 29, 2020 21:54 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Exercise / conversionCommon Stock | 8,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001375151-20-000116 · wf-form4_159348200314523.xml · nonDerivative · entry 1 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,223 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: 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 · balance_after: Includes 425 shares acquired under the Company's Employee Stock Purchase Plan since the last Section 16 filing by the Reporting Person. Read SEC document |
| June 17, 2020 Filed Jun 18, 2020 21:35 UTC | DURECT CORP DRRX · Entity 75335 | GrantNon-Qualified Stock Option (right to buy) · Derivative | 55,000 | $0.00 Strike: $2.33 | $0.00 |
DisclosureSEC source: 0001082038-20-000006 · edgardoc.xml · derivative · entry 1 Farfel Gail M · CIK 0001614780 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,000 Underlying: Common Stock · 55,000 shares Expires 2030-06-17 F1 · derivative.exercise_date: 100% of the total shares of this Grant Dated June 17, 2020 shall vest on the day before the first year anniversary of the Grant Date. Read SEC document |
| May 12, 2020 Filed May 13, 2020 17:39 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | SaleCommon Stock | 2,573 | $28.21 | $72,584.33 |
DisclosureSEC source: 0001375151-20-000078 · wf-form4_158940594711843.xml · nonDerivative · entry 1 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,048 F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Read SEC document |
| March 15, 2020 Filed Mar 17, 2020 19:24 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Exercise / conversionRestricted Stock Units · Derivative | 2,032 | $0.00 | $0.00 |
DisclosureSEC source: 0001375151-20-000035 · wf-form4_158448746503630.xml · derivative · entry 6 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,093 Underlying: Common Stock · 2,032 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Zogenix common stock. F9 · derivative.exercise_date: 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. F8 · derivative.expiration_date: Not applicable. Read SEC document |
| March 15, 2020 Filed Mar 17, 2020 19:24 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Exercise / conversionRestricted Stock Units · Derivative | 1,625 | $0.00 | $0.00 |
DisclosureSEC source: 0001375151-20-000035 · wf-form4_158448746503630.xml · derivative · entry 5 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,250 Underlying: Common Stock · 1,625 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F6 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Zogenix common stock. F7 · derivative.exercise_date: 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. F8 · derivative.expiration_date: Not applicable. Read SEC document |
| March 15, 2020 Filed Mar 17, 2020 19:24 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Tax withholdingCommon Stock | 696 | $22.01 | $15,318.96 |
DisclosureSEC source: 0001375151-20-000035 · wf-form4_158448746503630.xml · nonDerivative · entry 4 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,621 F5 · shares: Represents shares withheld to satisfy tax withholding obligations in connection with the vesting of shares of restricted stock units described in footnote 4. Read SEC document |
| March 15, 2020 Filed Mar 17, 2020 19:24 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Exercise / conversionCommon Stock | 2,032 | $0.00 | $0.00 |
DisclosureSEC source: 0001375151-20-000035 · wf-form4_158448746503630.xml · nonDerivative · entry 3 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,317 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · shares: Represents vesting of one-fourth (1/4) of restricted stock units granted on March 22, 2019. Read SEC document |
| March 15, 2020 Filed Mar 17, 2020 19:24 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Tax withholdingCommon Stock | 525 | $22.01 | $11,555.25 |
DisclosureSEC source: 0001375151-20-000035 · wf-form4_158448746503630.xml · nonDerivative · entry 2 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,285 F3 · shares: Represents shares withheld to satisfy tax withholding obligations in connection with the vesting of shares of restricted stock units described in footnote 1. Read SEC document |
| March 15, 2020 Filed Mar 17, 2020 19:24 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Exercise / conversionCommon Stock | 1,625 | $0.00 | $0.00 |
DisclosureSEC source: 0001375151-20-000035 · wf-form4_158448746503630.xml · nonDerivative · entry 1 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,810 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Represents vesting of one-fourth (1/4) of restricted stock units granted on March 15, 2018. F2 · balance_after: Includes 294 shares acquired under the Company's Employee Stock Purchase Plan since the last Section 16 filing by the Reporting Person. Read SEC document |
| March 04, 2020 Filed Mar 6, 2020 16:08 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | GrantRestricted Stock Units · Derivative | 6,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001375151-20-000023 · wf-form4_158352891140374.xml · derivative · entry 2 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000 Underlying: Common Stock · 6,000 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Zogenix common stock. F3 · derivative.exercise_date: The restricted stock units vest 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. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| March 04, 2020 Filed Mar 6, 2020 16:08 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | GrantStock Option (Right to Buy) · Derivative | 35,000 | $0.00 Strike: $27.36 | $0.00 |
DisclosureSEC source: 0001375151-20-000023 · wf-form4_158352891140374.xml · derivative · entry 1 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 Underlying: Common Stock · 35,000 shares Expires 2030-03-04 F1 · derivative.exercise_date: The option award shall vest in a series of forty-eight (48) successive, equal monthly installments beginning on April 15, 2020, subject to the reporting person's continuous service to the Company on the applicable vesting dates. Read SEC document |
| August 22, 2019 Filed Aug 23, 2019 16:09 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | SaleCommon Stock | 3,446 | $52.00 | $179,192.00 |
DisclosureSEC source: 0001375151-19-000115 · wf-form4_156659092636188.xml · nonDerivative · entry 1 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,891 F1 · kind: The sale transaction reported in this Form 4 was made pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| April 23, 2019 Filed Apr 25, 2019 20:14 UTC | DURECT CORP DRRX · Entity 75335 | GrantNon-Qualified Stock Option (right to buy) · Derivative | 70,000 | $0.00 Strike: $0.57 | $0.00 |
DisclosureSEC source: 0001082038-19-000010 · edgardoc.xml · derivative · entry 1 Farfel Gail M · CIK 0001614780 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 Underlying: Common Stock · 70,000 shares Expires 2029-04-23 F1 · derivative.exercise_date: One-third of the total number of shares vesting and becoming exercisable on each anniversary of the grant. Read SEC document |
| March 22, 2019 Filed Mar 26, 2019 16:11 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | GrantRestricted Stock Units · Derivative | 8,125 | $0.00 | $0.00 |
DisclosureSEC source: 0001375151-19-000042 · wf-form4_155363108036278.xml · derivative · entry 2 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,125 Underlying: Common Stock · 8,125 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Zogenix common stock. F3 · derivative.exercise_date: The restricted stock units vests 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. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| March 22, 2019 Filed Mar 26, 2019 16:11 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | GrantStock Option (Right to Buy) · Derivative | 63,750 | $0.00 Strike: $52.66 | $0.00 |
DisclosureSEC source: 0001375151-19-000042 · wf-form4_155363108036278.xml · derivative · entry 1 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,750 Underlying: Common Stock · 63,750 shares Expires 2029-03-22 F1 · derivative.exercise_date: The option award shall vest in a series of forty-eight (48) successive, equal monthly installments beginning on April 15, 2019, subject to the reporting person's continued service to the Company on the applicable vesting dates. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 18:59 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Exercise / conversionRestricted Stock Units · Derivative | 1,625 | $0.00 | $0.00 |
DisclosureSEC source: 0001375151-19-000033 · wf-form4_155303635426279.xml · derivative · entry 3 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,875 Underlying: Common Stock · 1,625 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Zogenix common stock. F1 · derivative.exercise_date: Represents vesting of one-fourth (1/4) of restricted stock units granted on March 15, 2018. F5 · derivative.expiration_date: Not applicable. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 18:59 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Tax withholdingCommon Stock | 488 | $51.88 | $25,317.44 |
DisclosureSEC source: 0001375151-19-000033 · wf-form4_155303635426279.xml · nonDerivative · entry 2 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,337 F3 · shares: Represents shares withheld to satisfy tax withholding obligations in connection with the vesting of shares of restricted stock units granted to the Reporting Person. Read SEC document |
| March 15, 2019 Filed Mar 19, 2019 18:59 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Exercise / conversionCommon Stock | 1,625 | $0.00 | $0.00 |
DisclosureSEC source: 0001375151-19-000033 · wf-form4_155303635426279.xml · nonDerivative · entry 1 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,825 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · shares: Represents vesting of one-fourth (1/4) of restricted stock units granted on March 15, 2018. F2 · balance_after: Includes 57 shares acquired under the Company's Employee Stock Purchase Plan since the last Section 16 filing by the Reporting Person. Read SEC document |
| October 04, 2018 Filed Oct 9, 2018 17:37 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Exercise / conversionStock Option (Right to Buy) · Derivative | 6,961 | $13.96 Strike: $13.96 | $97,175.56 |
DisclosureSEC source: 0001375151-18-000074 · wf-form4_153912105220309.xml · derivative · entry 5 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,289 Underlying: Common Stock · 6,961 shares Expires 2025-06-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: The option was granted on July 1, 2015, which is the vesting commencement date. One-fourth of the shares subject to the option will vest on the first anniversary of the vesting commencement date, and the remaining shares subject to the option shall vest in thirty-six equal monthly installments over the three-year period thereafter, subject to the Reporting Person's continued employment with the Company on each vesting date. Read SEC document |
| October 04, 2018 Filed Oct 9, 2018 17:37 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | SaleCommon Stock | 1,961 | $43.74 | $85,765.51 |
DisclosureSEC source: 0001375151-18-000074 · wf-form4_153912105220309.xml · nonDerivative · entry 4 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,143 F4 · price: The price reported in Column 4 is a weighted average price.These shares were sold in multiple transactions at prices ranging from $43.22 to $44.70, inclusive.The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, additional information regarding the number of shares sold at each separate price within the range set forth in this footnote. F1 · acquired: The exercise and sale transactions reported in this Form 4 are made pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| October 04, 2018 Filed Oct 9, 2018 17:37 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | SaleCommon Stock | 2,900 | $43.11 | $125,025.67 |
DisclosureSEC source: 0001375151-18-000074 · wf-form4_153912105220309.xml · nonDerivative · entry 3 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,104 F3 · price: The price reported in Column 4 is a weighted average price.These shares were sold in multiple transactions at prices ranging from $43.04 to $43.19, inclusive.The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, additional information regarding the number of shares sold at each separate price within the range set forth in this footnote. F1 · acquired: The exercise and sale transactions reported in this Form 4 are made pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| October 04, 2018 Filed Oct 9, 2018 17:37 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | SaleCommon Stock | 2,100 | $42.92 | $90,137.04 |
DisclosureSEC source: 0001375151-18-000074 · wf-form4_153912105220309.xml · nonDerivative · entry 2 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,004 F2 · price: The price reported in Column 4 is a weighted average price.These shares were sold in multiple transactions at prices ranging from $42.65 to $43.03, inclusive.The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, additional information regarding the number of shares sold at each separate price within the range set forth in this footnote. F1 · acquired: The exercise and sale transactions reported in this Form 4 are made pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| October 04, 2018 Filed Oct 9, 2018 17:37 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Exercise / conversionCommon Stock | 6,961 | $13.96 | $97,175.56 |
DisclosureSEC source: 0001375151-18-000074 · wf-form4_153912105220309.xml · nonDerivative · entry 1 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,104 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| September 04, 2018 Filed Sep 5, 2018 16:14 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Exercise / conversionStock Option (Right to Buy) · Derivative | 7,000 | $13.96 Strike: $13.96 | $97,720.00 |
DisclosureSEC source: 0001375151-18-000068 · wf-form4_153617843899070.xml · derivative · entry 4 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,250 Underlying: Common Stock · 7,000 shares Expires 2025-06-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The option was granted on July 1, 2015, which is the vesting commencement date. One-fourth of the shares subject to the option will vest on the first anniversary of the vesting commencement date, and the remaining shares subject to the option shall vest in thirty-six equal monthly installments over the three-year period thereafter, subject to the Reporting Person's continued employment with the Company on each vesting date Read SEC document |
| September 04, 2018 Filed Sep 5, 2018 16:14 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | SaleCommon Stock | 2,300 | $48.21 | $110,872.42 |
DisclosureSEC source: 0001375151-18-000068 · wf-form4_153617843899070.xml · nonDerivative · entry 3 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,143 F3 · price: The price reported in Column 4 is a weighted average price.These shares were sold in multiple transactions at prices ranging from $47.95 to $48.35, inclusive.The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, additional information regarding the number of shares sold at each separate price within the range set forth in this footnote. F1 · acquired: The exercise and sale transactions reported in this Form 4 are made pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| September 04, 2018 Filed Sep 5, 2018 16:14 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | SaleCommon Stock | 4,700 | $47.27 | $222,169.94 |
DisclosureSEC source: 0001375151-18-000068 · wf-form4_153617843899070.xml · nonDerivative · entry 2 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,443 F2 · price: The price reported in Column 4 is a weighted average price.These shares were sold in multiple transactions at prices ranging from $46.90 to $47.85, inclusive.The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, additional information regarding the number of shares sold at each separate price within the range set forth in this footnote. F1 · acquired: The exercise and sale transactions reported in this Form 4 are made pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| September 04, 2018 Filed Sep 5, 2018 16:14 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Exercise / conversionCommon Stock | 7,000 | $13.96 | $97,720.00 |
DisclosureSEC source: 0001375151-18-000068 · wf-form4_153617843899070.xml · nonDerivative · entry 1 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,143 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 08, 2018 Filed Aug 10, 2018 16:06 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Exercise / conversionStock Option (Right to Buy) · Derivative | 7,000 | $0.00 Strike: $13.96 | $0.00 |
DisclosureSEC source: 0001375151-18-000065 · wf-form4_153393156441280.xml · derivative · entry 4 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,250 Underlying: Common Stock · 7,000 shares Expires 2025-06-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The option was granted on July 1, 2015, which is the vesting commencement date. One-fourth of the shares subject to the option will vest on the first anniversary of the vesting commencement date, and the remaining shares subject to the option shall vest in thirty-six equal monthly installments over the three-year period thereafter, subject to the Reporting Person's continued employment with the Company on each vesting date. Read SEC document |
| August 08, 2018 Filed Aug 10, 2018 16:06 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | SaleCommon Stock | 1,900 | $53.16 | $100,995.07 |
DisclosureSEC source: 0001375151-18-000065 · wf-form4_153393156441280.xml · nonDerivative · entry 3 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,143 F3 · price: The price reported in Column 4 is a weighted average price.These shares were sold in multiple transactions at prices ranging from $52.95 to $53.53, inclusive.The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, additional information regarding the number of shares sold at each separate price within the range set forth in this footnote. F1 · acquired: The exercise and sale transactions reported in this Form 4 are made pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| August 08, 2018 Filed Aug 10, 2018 16:06 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | SaleCommon Stock | 5,100 | $52.42 | $267,317.52 |
DisclosureSEC source: 0001375151-18-000065 · wf-form4_153393156441280.xml · nonDerivative · entry 2 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,043 F2 · price: The price reported in Column 4 is a weighted average price.These shares were sold in multiple transactions at prices ranging from $51.95 to $52.90, inclusive.The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, additional information regarding the number of shares sold at each separate price within the range set forth in this footnote. F1 · acquired: The exercise and sale transactions reported in this Form 4 are made pursuant to a Rule 10b5-1 trading plan. Read SEC document |
| August 08, 2018 Filed Aug 10, 2018 16:06 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Exercise / conversionCommon Stock | 7,000 | $13.96 | $97,720.00 |
DisclosureSEC source: 0001375151-18-000065 · wf-form4_153393156441280.xml · nonDerivative · entry 1 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,143 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| June 12, 2018 Filed Jun 13, 2018 20:57 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Exercise / conversionStock Option (Right to Buy) · Derivative | 5,000 | $0.00 Strike: $13.96 | $0.00 |
DisclosureSEC source: 0001375151-18-000050 · wf-form4_152893786064891.xml · derivative · entry 3 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,250 Underlying: Common Stock · 5,000 shares Expires 2025-06-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 16, 2018. F3 · derivative.exercise_date: The option was granted on July 1, 2015, which is the vesting commencement date. One-fourth of the shares subject to the option will vest on the first anniversary of the vesting commencement date, and the remaining shares subject to the option shall vest in thirty-six equal monthly installments over the three-year period thereafter, subject to the Reporting Person's continued employment with the Company on each vesting date Read SEC document |
| June 12, 2018 Filed Jun 13, 2018 20:57 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | SaleCommon Stock | 5,118 | $45.00 | $230,310.00 |
DisclosureSEC source: 0001375151-18-000050 · wf-form4_152893786064891.xml · nonDerivative · entry 2 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,143 F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 16, 2018. Read SEC document |
| June 12, 2018 Filed Jun 13, 2018 20:57 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | Exercise / conversionCommon Stock | 5,000 | $13.96 | $69,800.00 |
DisclosureSEC source: 0001375151-18-000050 · wf-form4_152893786064891.xml · nonDerivative · entry 1 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,261 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The option exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 16, 2018. F2 · balance_after: Includes 7,261 shares of common stock previously purchased by the Reporting Person pursuant to the Issuer's employee stock purchase plan. Read SEC document |
| March 15, 2018 Filed Mar 16, 2018 16:17 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | GrantRestricted Stock Units · Derivative | 6,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001375151-18-000017 · wf-form4_152123144012793.xml · derivative · entry 2 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,500 Underlying: Common Stock · 6,500 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Zogenix common stock. F3 · derivative.exercise_date: The restricted stock units shall vest as to 1/4th of the original number of shares subject to the restricted stock unit award on the one-year anniversary of the date of grant, and thereafter as to 1/4th of the original number of shares subject to the restricted stock unit award on each of the following three anniversaries, subject to the reporting person's continued service with the Issuer on the applicable vesting dates. F4 · derivative.expiration_date: Not applicable. Read SEC document |
| March 15, 2018 Filed Mar 16, 2018 16:17 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | GrantStock Option (Right to Buy) · Derivative | 40,000 | $0.00 Strike: $42.65 | $0.00 |
DisclosureSEC source: 0001375151-18-000017 · wf-form4_152123144012793.xml · derivative · entry 1 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2028-03-15 F1 · derivative.exercise_date: The option award shall vest in a series of forty-eight (48) successive, equal monthly installments beginning on April 15, 2018, subject to the reporting person's continued service with the Issuer on the applicable vesting dates. Read SEC document |
| March 14, 2017 Filed Mar 16, 2017 20:00 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | GrantRestricted Stock Units · Derivative | 8,750 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-17-007842 · doc4.xml · derivative · entry 2 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,750 Underlying: Common Stock · 8,750 shares Expires 2022-03-13 F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of ZGNX common stock. F3 · derivative.exercise_date: The RSUs shall vest upon the approval by the U.S. Food and Drug Administration of the Company's New Drug Application for ZX008, provided such approval occurs within five years following the grant date, subject to the option recipient's continuous service to the Company on such vesting date. Read SEC document |
| March 14, 2017 Filed Mar 16, 2017 20:00 UTC | ZOGENIX, INC. ZGNX · Entity 129305 | GrantStock Option (Right to Buy) · Derivative | 52,500 | $0.00 Strike: $10.20 | $0.00 |
DisclosureSEC source: 0000899243-17-007842 · doc4.xml · derivative · entry 1 Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,500 Underlying: Common Stock · 52,500 shares Expires 2027-03-13 F1 · derivative.exercise_date: The option was granted on March 14, 2017 and vests in a series of forty-eight (48) successive, equal monthly installments beginning on April 14, 2017, subject to the reporting person's continued employment with the Company on each vesting date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.