SEC Form 4 · accession 0001209191-16-128993
Alexza Pharmaceuticals Inc. · ALXA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
J Kevin Buchi
Director
Period of report
Jun 21, 2016
Accepted (ET)
Jun 21, 2016 · 3:40 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 | $1.28 | Jun 21, 2016 | D | 12,500 | D | Jun 3, 2016 | Jun 22, 2025 | Common Stock | 12,500 | 0 | D |
| Stock Option (right to buy)F1 | $4.35 | Jun 21, 2016 | D | 12,500 | D | Jun 10, 2015 | Jun 9, 2024 | Common Stock | 12,500 | 0 | D |
| Stock Option (right to buy)F1 | $5.13 | Jun 21, 2016 | D | 20,000 | D | Feb 2, 2013 | Jan 1, 2023 | Common Stock | 20,000 | 0 | D |
Explanation of responses
- F1Disposed of pursuant to Section 3.4(a) of the Agreement and Plan of Merger, dated 5/9/16, among the Issuer, Grupo Ferrer Internactional, S.A. and Ferrer Pharma Inc. (the "Agreement), whereby each option that was outstanding immediately prior to the Offer Closing (as defined in the Agreement) was cancelled without consideration.