OMB APPROVAL
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB Number: 3235‑0101
Expires: February 28, 2014 Estimated average burden hours per response......1.00
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FORM 144
NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 |
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SEC USE ONLY | |
DOCUMENT SEQUENCE NO. | |
CUSIP NUMBER | |
WORK LOCATION
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ATTENTION: | Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker |
1 (a) NAME OF ISSUER (Please type or print)
Zogenix, Inc
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(b) IRS IDENT. NO.
20-5300780
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(c) S.E.C. FILE NO.
001-34962
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1 (d) ADDRESS OF ISSUERSTREETCITYSTATEZIP CODE
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(e) TELEPHONE NO.
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12400 High Bluff Drive Suite 650 San Diego CA 92130
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AREA CODE
858
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NUMBER
259-1165
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2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD
Federated Kaufmann Small Cap Fund, a portfolio of
Federated Equity Funds
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(b) RELATIONSHIP TO ISSUER
Fund and other funds managed by common adviser are collectively 10% or greater shareholder
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(c) ADDRESS STREETCITYSTATEZIP CODE
4000 ERICSSON DR WARRENDALE, PA 15086-7561
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3 (a)
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(b)
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SEC USE ONLY
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(c)
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(d)
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(e)
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(f)
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(g)
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Title of the
Class of
Securities
To Be Sold
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Name and Address of Each Broker
Through Whom the Securities are
to be Offered or Each Market Maker
who is Acquiring the Securities
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Broker-Dealer
File Number
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Number of Shares
or Other Units
To Be Sold
(See instr. 3(c))
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Aggregate
Market
Value
(See instr. 3(d))
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Number of Shares
or Other Units
Outstanding
(See instr. 3(e))
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Approximate
Date of Sale
(See instr. 3(f))
(MO. DAY YR.)
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Name of Each
Securities
Exchange
(See instr. 3(g))
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Common
Stock
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Liquidnet Inc 498 7TH Ave NY, NY 10018 Cowen and Company
599 Lexington Avenue New York, NY 10022 Jones Trading Institutional Services
32133 Lindero Canyon Road, Suite 208 Westlake Village, CA 91361 |
515,000 |
$628,300 |
153,000,000 |
03/12/15 |
NASDAQ |
1.
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(a)
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Name of issuer
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3.
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(a)
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Title of the class of securities to be sold
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(b)
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Issuer’s I.R.S. Identification Number
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(b)
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Name and address of each broker through whom the securities are intended to be sold
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(c)
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Issuer’s S.E.C. file number, if any
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(c)
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Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
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(d)
(e)
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Issuer’s telephone number, including area code
Issuer’s address, including zip code
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(d)
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Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice
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2.
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(a)
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Name of person for whose account the securities are to be sold
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(e)
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Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer
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(b)
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Such person’s I.R.S. identification number, if such person is an entity
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(f)
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Approximate date on which the securities are to be sold
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(c)
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Such person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)
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(g)
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Name of each securities exchange, if any, on which the securities are intended to be sold
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(d)
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Such person’s address, including zip code
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Title of
the Class |
Date you Acquired
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Nature of Acquisition Transaction
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Name of Person from Whom Acquired
(If gift, also give date donor acquired) |
Amount of Securities Acquired
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Date of Payment
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Nature of Payment
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Common
Stock
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07/24/2012 |
Secondary Offering |
Wells Fargo as lead underwriter for company |
2,325,000 |
07/27/12 |
Cash |
INSTRUCTIONS: |
If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.
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Name and Address of Seller
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Title of Securities Sold
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Date of Sale
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Amount of
Securities Sold |
Gross Proceeds |
Federated Kaufmann Small Cap Fund, a
portfolio of Federated Equity Funds
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Common Stock |
3/11/2015
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1,118,000
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$1,388,042
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INSTRUCTIONS:
See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
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ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
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March 12, 2015
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Federated Kaufmann Small Cap Fund, a portfolio of Federated Equity Funds
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DATE OF NOTICE
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By: Federated Global Investment Management Corp. as attorney-in-fact
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/s/ Lawrence Auriana | ||||
Lawrence Auriana
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Senior Vice President, Federated Global Investment Management Corp.
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(SIGNATURE)
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DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION. |
The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall
be manually signed. Any copies not manually signed shall bear typed or printed signatures. |
IF RELYING ON RULE 10B5-1 |
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)
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