Filing Details
- Accession Number:
- 0001209191-12-043656
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-08-29 17:27:39
- Reporting Period:
- 2012-08-27
- Filing Date:
- 2012-08-29
- Accepted Time:
- 2012-08-29 17:27:39
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1344413 | Alexza Pharmaceuticals Inc. | ALXA | Pharmaceutical Preparations (2834) | 770567768 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1427117 | J Michael Simms | Alexza Pharmaceuticals Inc. 2091 Stierlin Court Mountain View CA 94043 | Svp, Operations & Manuf | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2012-08-27 | 10,000 | $4.14 | 7,957 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct |
Footnotes
- Represents shares issued as restricted stock units (an "RSU") under the Issuer's 2005 Equity Incentive Plan (the "Plan") that vested in full on August 24, 2012. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on July 25, 2012.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.05 to $4.25, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- Reflects the shares held by the Reporting Person following the ten-for-one reverse split of the Issuer's outstanding common stock implemented on June 12, 2012 and includes, as previously reported, 4,558 RSUs granted under the Plan pursuant to the terms of the Issuer's 2009-2010 Performance Based Incentive Program that will vest on the date the U.S. Food and Drug Administration approves the Issuer's New Drug Application for its ADASUVE (Staccato loxapine) product candidate, if ever, provided that at the relevant vesting date the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan.
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