Filing Details
- Accession Number:
- 0001209191-10-026102
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-05-07 13:00:00
- Reporting Period:
- 2010-05-05
- Filing Date:
- 2010-05-07
- Accepted Time:
- 2010-05-07 16:30:24
- 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 |
|---|---|---|---|---|---|---|---|
| 1344412 | J August Moretti | Alexza Pharmaceuticals Inc. 2091 Stierlin Court Mountain View CA 94043 | Svp, Cfo & Sec | 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 | Acquisiton | 2010-05-05 | 10,000 | $1.38 | 53,222 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2010-05-05 | 10,000 | $3.50 | 43,222 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | Disposition | 2010-05-05 | 10,000 | $0.00 | 122,727 | $1.38 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 82,727 | 2006-02-01 | 2015-04-14 | No | 4 | M | Direct |
Footnotes
- The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.
- Includes 10,419 restricted stock units ("RSU") previously reported as holdings of the Reporting Person granted under the Issuer's 2005 Equity Incentive Plan (the "Plan") pursuant to the terms of the Issuer's 2009-2010 Performance Based Incentive Program (the "Performance Program"). The RSU will vest, and shares will be delivered to the Reporting Person, upon the Issuer's submission of a New Drug Application for the Issuer's AZ-004 (Staccato loxapine) product candidate, 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 and the Reporting Person has at least a minimum personal performance rating of 70% under the Performance Program.
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