Filing Details
- Accession Number:
- 0001209191-16-104976
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2016-03-03 10:16:49
- Reporting Period:
- 2015-09-28
- Filing Date:
- 2016-03-03
- Accepted Time:
- 2016-03-03 10:16:49
- Original Submission Date:
- 2015-09-28
- 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 |
|---|---|---|---|---|---|---|---|
| 1623398 | Grupo Ferrer Internacional, S.a. | Avenida Diagonal 549 5Th Floor Barcelona U3 E-08029 | No | No | Yes | No | |
| 1668295 | Sergio Ferrer-Salat | Avenida Diagonal 549 5Th Floor Barcelona U3 E-08029 | No | No | Yes | 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 | 2015-09-28 | 125,000 | $0.00 | 2,366,935 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Footnotes
- The shares were issued as partial consideration for a term loan in the maximum principal amount of $5 million with an interest rate of 6% per annum from the Reporting Person to the Issuer as reported in Current Report on Form 8-K on the date hereof.
- Mr. 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.
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