SEC Form 4 · accession 0001209191-16-128996

Alexza Pharmaceuticals Inc. · ALXA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Jun 21, 2016

Accepted (ET)

Jun 21, 2016 · 3:42 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 Stock^F1	Jun 21, 2016	U	658	—	D	0	D
Common Stock^F1,F2	Jun 21, 2016	U	98,967	—	D	0	I	See footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Stock Option (right to buy)^F3	$1.28	Jun 21, 2016	D	12,500	D	Jun 3, 2016	Jun 22, 2025	Common Stock	12,500	D
Stock Option (right to buy)^F3	$4.35	Jun 21, 2016	D	12,500	D	Jun 10, 2015	Jun 9, 2024	Common Stock	12,500	D
Stock Option (right to buy)^F3	$4.68	Jun 21, 2016	D	11,606	D	Jun 21, 2013	May 20, 2023	Common Stock	11,606	D
Stock Option (right to buy)^F3	$3.50	Jun 21, 2016	D	3,991	D	Jul 6, 2012	Jun 6, 2022	Common Stock	3,991	D
Stock Option (right to buy)^F3	$15.30	Jun 21, 2016	D	3,125	D	Aug 28, 2011	Jul 28, 2021	Common Stock	3,125	D
Stock Option (right to buy)^F3	$35.20	Jun 21, 2016	D	625	D	Jun 18, 2010	May 18, 2020	Common Stock	625	D
Stock Option (right to buy)^F3	$16.90	Jun 21, 2016	D	625	D	Jun 7, 2009	May 7, 2019	Common Stock	625	D
Stock Option (right to buy)^F3	$53.30	Jun 21, 2016	D	625	D	Jun 27, 2008	May 27, 2018	Common Stock	625	D
Stock Option (right to buy)^F3	$98.50	Jun 21, 2016	D	625	D	Jun 23, 2007	May 23, 2017	Common Stock	625	D

F1Per the terms 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) and the Offer (as defined in the Agreement), each share of the Issuer's common stock was tendered for $0.90 per share in cash, without interest and less any required withholding taxes, plus one contractual contingent value right per share ("CVR") (as defined in the Agreement).
F297,988 shares are held directly by Delphi Ventures VI, L.P. ("DV VI") and 979 shares are held directly by Delphi BioInvestments VI, L.P. ("DBI VI" together with DV VI, the "Delphi VI Funds"). Delphi Management Partners VI, LLC ("DMP VI") is the general partner of each of DV VI and DBI VI and may be deemed to have beneficial ownership of the shares held by such entities. The Reporting Person is a managing member of DMP VI and may be deemed to share voting and dispositive power over the shares held by the Delphi VI Funds. The Reporting Person disclaims beneficial ownership of shares held by the Delphi VI Funds except to the extent of any pecuniary interest therein.
F3Disposed of per Section 3.4(a) of the Agreement, whereby each option that was outstanding immediately prior to the Offer Closing (as defined in the Agreement) was cancelled without consideration.