SEC Form 4 · accession 0001209191-16-129007
Alexza Pharmaceuticals Inc. · ALXA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Isaac Stein
Director
Period of report
Jun 21, 2016
Accepted (ET)
Jun 21, 2016 · 3:50 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 | Jun 21, 2016 | U | 15,838 | — | D | 0 | I | By The Stein 1995 Revocable Trust, as co-trustee |
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)F2 | $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)F2 | $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)F2 | $4.68 | Jun 21, 2016 | D | 11,606 | D | Jun 21, 2013 | May 20, 2023 | Common Stock | 11,606 | 0 | D |
| Stock Option (right to buy)F2 | $3.50 | Jun 21, 2016 | D | 3,991 | D | Jul 6, 2012 | Jun 6, 2022 | Common Stock | 3,991 | 0 | D |
| Stock Option (right to buy)F2 | $15.30 | Jun 21, 2016 | D | 3,125 | D | Aug 28, 2011 | Jul 28, 2021 | Common Stock | 3,125 | 0 | D |
| Stock Option (right to buy)F2 | $35.20 | Jun 21, 2016 | D | 625 | D | Jun 18, 2010 | May 18, 2020 | Common Stock | 625 | 0 | D |
| Stock Option (right to buy)F2 | $16.90 | Jun 21, 2016 | D | 625 | D | Jun 7, 2009 | May 7, 2019 | Common Stock | 625 | 0 | D |
| Stock Option (right to buy)F2 | $53.30 | Jun 21, 2016 | D | 625 | D | Jun 27, 2008 | May 27, 2018 | Common Stock | 625 | 0 | D |
| Stock Option (right to buy)F2 | $98.50 | Jun 21, 2016 | D | 625 | D | Jun 23, 2007 | May 23, 2017 | Common Stock | 625 | 0 | D |
Explanation of responses
- 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).
- F2Disposed 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.