SEC Form 4/A · accession 0001209191-16-104976
Alexza Pharmaceuticals Inc. · ALXA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Period of report
Sep 28, 2015
Accepted (ET)
Mar 3, 2016 · 10:16 am EST
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,F2 | 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.
- F2Mr. Ferrer-Salat, as the Chairman and controlling shareholder of Grupo Ferrer Internacional S.A. ("Grupo Ferrer") may be deemed a beneficial owner of the securities held by Grupo Ferrer, but disclaims ownership thereof except to the extent of his pecuniary interest therein.
Remarks
This Form 4/A amends a Form 4 filed on September 28, 2015 and is being filed in order to add Sergio Ferrer-Salat as a reporting person.