Filing Details
- Accession Number:
- 0001209191-13-038370
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2013-07-30 17:34:18
- Reporting Period:
- 2013-07-24
- Filing Date:
- 2013-07-30
- Accepted Time:
- 2013-07-30 17:34:18
- Original Submission Date:
- 2013-07-26
- 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
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2013-07-24 | 25,000 | $4.48 | 200,000 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2013-07-25 | 12,580 | $4.50 | 212,580 | No | 4 | P | Direct | |
Common Stock | Acquisiton | 2013-07-26 | 2,420 | $4.49 | 215,000 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct | |
No | 4 | P | Direct | |
No | 4 | P | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 30,823 | Indirect | By The Thomas B. and Beth King 2000 Family Trust, as co-trustee |
Footnotes
- All of the shares were purchased within a price range between $4.43 to $4.50 per share, with a weighted average price per share of $4.476. Upon request, the Reporting Person will provide full information regarding the number of shares purchased at each separate price.
- All of the shares were purchased within a price range between $4.47 to $4.50 per share, with a weighted average price per share of $4.498. Upon request, the Reporting Person will provide full information regarding the number of shares purchased at each separate price.
- Includes 175,000 previously reported shares issued as restricted stock units ("RSUs") under the Issuer's 2005 Equity Incentive Plan (the "Plan"). If the Issuer's common stock listed on the Nasdaq Global Market has traded at or above $8.63 on each trading day of any 30-day trading period after March 29, 2013 (the "Price Trigger"), then 50% of the RSUs will vest on the later of March 29, 2016 and the date on which the Price Trigger is met, and the remaining 50% of the RSUs will vest on the later of March 29, 2017 and the date on which the Price Trigger is met, provided in each case that the Reporting Person remains employed by the Company through the applicable vesting date.
- This Report is being filed solely to correct the foregoing footnotes to reflect the purchase vs. sale of shares reported therein.