SEC Form 4 · accession 0001209191-16-129191
Alexza Pharmaceuticals Inc. · ALXA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jun 21, 2016
Accepted (ET)
Jun 22, 2016 · 3:12 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,F2,F3 | Jun 21, 2016 | P | 19,465,714 | $0.90 | A | 21,832,649 | I | See Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Purchase price paid consisted of $0.90 cash and a contingent value right.
- F2Ownership is held indirectly through a wholly owned subsidiary.
- F3Mr. 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.