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Filing Details

Accession Number:: 0001209191-10-057213
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2010-11-29 19:41:27
Reporting Period:: 2010-11-29

Filing Date:: 2010-11-29
Accepted Time:: 2010-11-29 19:41:27
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1375151	Zogenix Inc.	ZGNX	Pharmaceutical Preparations (2834)	205300780

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1266275	Kate Mitchell	950 Tower Lane Suite 700 Foster City CA 94404	No	No	Yes	No
1314703	Scale Venture Partners Ii, Lp	950 Tower Lane, Suite 700 Foster City CA 94404	No	No	Yes	No
1366969	Rory O'driscoll	450 Tower Lane, Suite 700 Foster City CA 94404	No	No	Yes	No
1367512	Scale Venture Management Ii, Llc	950 Tower Lane, Suite 700 Foster City CA 94404	No	No	Yes	No
1393556	L Sharon Wienbar	450 Tower Lane, Suite 700 Foster City CA 94404	No	No	Yes	No
1424875	J Mark Brooks	450 Tower Lane, Suite 700 Foster City CA 94404	No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership
Common Stock	Acquisiton	2010-11-29	1,400,000	$0.00	1,400,000	No	4	C	Direct
Common Stock	Acquisiton	2010-11-29	831,901	$0.00	2,231,901	No	4	C	Direct
Common Stock	Acquisiton	2010-11-26	589,645	$4.00	2,821,546	No	4	P	Direct
Common Stock	Acquisiton	2010-11-29	1,250,000	$4.00	4,071,546	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	C	Direct
No	4	C	Direct
No	4	P	Direct
No	4	P	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Series A-1 Convertible Preferred Stock	Disposition	2010-11-29	14,000,000	$0.00	1,400,000	$0.00
Common Stock	Series B Convertible Preferred Stock	Disposition	2010-11-29	8,319,024	$0.00	831,901	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0			No	4	C	Direct
0			No	4	C	Direct

Footnotes

Represents shares of common stock acquired upon the automatic conversion of Series A-1 Preferred Stock upon the closing of the Issuer's initial public offering of common stock.
Each share of Series A-1 Preferred Stock converted into 0.1 shares of common stock.
The securities are held directly by Scale Venture Partners II, LP ("Scale Partners"). The General Partner of Scale Partners is Scale Venture Management II, LLC ("Scale Management"). Louis Bock, Mark Brooks, Kate Mitchell, Rory O'Driscoll and Sharon Wienbar are managing members of Scale Management and share voting and investment power with respect to these securities. Each of the managing members of Scale Management disclaims beneficial ownership with respect to these securities except to the extent of his or her respective proportionate pecuniary interest therein.
Represents shares of common stock acquired upon the automatic conversion of Series B Preferred Stock upon the closing of the Issuer's initial public offering of common stock.
Each share of Series B Preferred Stock converted into 0.1 shares of common stock.
The common stock was acquired upon conversion of a convertible promissory note exempt from the definition of a derivative security because the conversion price did not become fixed until automatic conversion at the time of the closing of the Issuer's initial public offering.
Represents shares of common stock acquired by Scale Partners upon the conversion of convertible promissory notes issued to Scale Partners in July 2010. The outstanding principal amount and accrued but unpaid interest thereon was automatically converted into shares of common stock of the Issuer upon the consummation of an initial public offering of the Issuer's common stock at a conversion price equal to $4.00, which was the initial public offering price per share.
These securities are preferred stock of the Issuer and did not have an expiration date. Prior to the Issuer's initial public offering of common stock, the securities were convertible at any time at the election of the holder. The securities automatically converted into shares of common stock upon the closing of the Issuer's initial public offering of common stock.