SEC Form 4 · accession 0001209191-15-072316
Alexza Pharmaceuticals Inc. · ALXA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Grupo Ferrer Internacional, S.A.
10% Owner
Period of report
Sep 28, 2015
Accepted (ET)
Sep 28, 2015 · 5:10 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001344413
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Sep 28, 2015 | P$0 | 125,000 | — | A | 2,366,935 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were issued as partial consideration for a term loan in the maximum principal amount of $5 million with an interest rate of 6% per annum from the Reporting Person to the Issuer as reported in Current Report on Form 8-K on the date hereof.