SEC Form 4 · accession 0000899243-15-001607
Alexza Pharmaceuticals Inc. · ALXA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark K Oki
Officer — SVP, Finance, CFO & Sec
Period of report
Jul 22, 2015
Accepted (ET)
Jul 24, 2015 · 4:39 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001344413
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $1.08 | Jul 22, 2015 | A | 125,000 | A | — | Jul 21, 2025 | Common Stock | 125,000 | 125,000 | D |
Explanation of responses
- F1Grant to the Reporting Person of a stock option under the Issuer's 2015 Equity Incentive Plan (the "Plan"). The shares vest in 48 equal monthly installments commencing on August 21, 2015, provided, that in each case, the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan, and provided further, that in the event that the Company terminates the Reporting Person's employment as of or within three (3) months prior to or twelve (12) months following a Change in Control (as defined in the Plan), then the option shall become fully vested and immediately exercisable as of such date. The option expires ten years after the date of grant.