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Filing Details

Accession Number:: 0001209191-12-043660
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2012-08-29 17:35:24
Reporting Period:: 2012-08-27

Filing Date:: 2012-08-29
Accepted Time:: 2012-08-29 17:35:24
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
1279309	Braxton Thomas King	Alexza Pharmaceuticals Inc. 2091 Stierlin Court Mountain View CA 94043	Pres & Ceo	Yes	Yes	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

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	10,229	No	4	S	Direct
Common Stock	Disposition	2012-08-14	1,116	$0.00	9,113	No	5	G	Direct
Common Stock	Acquisiton	2012-08-14	1,116	$0.00	20,482	No	5	G	Indirect	By The Thomas B. and Beth King 2000 Family Trust, as co-trustee

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Direct
No	5	G	Direct
No	5	G	Indirect	By The Thomas B. and Beth King 2000 Family Trust, as co-trustee

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 9,113 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.
Reflects the shares held indirectly by the Reporting Person following the ten-for-one reverse split of the Issuer's outstanding common stock implemented on June 12, 2012.