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Filing Details

Accession Number:: 0000945621-12-000009
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2012-01-20 13:43:09
Reporting Period:: 2011-12-23

Filing Date:: 2012-01-20
Accepted Time:: 2012-01-20 13:43:09
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
1509544	L.p. Fund Master Occitan	Walker House, 87 Mary Street George Town, Grand Cayman E9 KY1-9005		No	No	Yes	Yes
1539739	Occitan Capital Management Inc.	Walker House, 87 Mary Street George Town, Grand Cayman E9 KY1-9005		No	No	Yes	Yes

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock, Par Value $0.0001	Acquisiton	2011-12-23	4,392	$0.83	3,552,600	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2011-12-23	1,900	$0.83	3,554,500	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2011-12-23	500	$0.82	3,555,000	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2011-12-23	900	$0.82	3,555,900	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2011-12-23	4,100	$0.82	3,560,000	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2011-12-28	2,923	$0.79	3,562,923	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2011-12-28	12,077	$0.79	3,575,000	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2011-12-28	10,000	$0.80	3,585,000	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2011-12-28	500	$0.81	3,585,500	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2011-12-29	500	$0.79	3,586,000	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2011-12-29	10,000	$0.81	3,596,000	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Disposition	2011-12-30	3,600	$0.86	3,592,400	No	4	S	Indirect	See notes
Common Stock, Par Value $0.0001	Disposition	2011-12-30	5,000	$0.85	3,587,400	No	4	S	Indirect	See notes
Common Stock, Par Value $0.0001	Disposition	2011-12-30	10,000	$0.85	3,577,400	No	4	S	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2011-12-30	21,070	$0.79	3,598,470	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2012-01-06	10,000	$0.94	3,608,470	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2012-01-06	5,000	$0.94	3,613,470	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2012-01-06	5,000	$0.94	3,618,470	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2012-01-10	800	$0.93	3,619,270	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2012-01-10	2,775	$0.93	3,622,045	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2012-01-10	175	$0.93	3,622,220	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2012-01-10	2,500	$0.93	3,624,720	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2012-01-10	100	$0.93	3,624,820	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2012-01-10	100	$0.93	3,624,920	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2012-01-10	1,700	$0.93	3,626,620	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2012-01-10	100	$0.93	3,626,720	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2012-01-10	100	$0.93	3,626,820	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2012-01-10	7,225	$0.92	3,634,045	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2012-01-10	10,000	$0.92	3,644,045	No	4	P	Indirect	See notes
Common Stock, Par Value $0.0001	Acquisiton	2012-01-10	100	$0.92	3,644,145	No	4	P	Indirect	See notes

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	S	Indirect	See notes
No	4	S	Indirect	See notes
No	4	S	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes
No	4	P	Indirect	See notes

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Call Option (right to buy)	Acquisiton	2011-12-27	200	$0.32	20,000	$1.00
Common Stock	Call Option (right to buy)	Acquisiton	2011-12-27	3,000	$0.44	300,000	$1.00
Common Stock	Call Option (right to buy)	Acquisiton	2011-12-28	2,000	$0.32	2,000,000	$1.00
Common Stock	Call Option (right to buy)	Acquisiton	2011-12-28	293	$0.42	29,300	$1.00
Common Stock	Call Option (right to buy)	Acquisiton	2011-12-29	6,000	$0.45	600,000	$1.00
Common Stock	Call Option (right to buy)	Acquisiton	2011-12-29	200	$0.27	20,000	$2.00
Common Stock	Call Option (right to buy)	Acquisiton	2011-12-30	1,000	$0.32	100,000	$1.00
Common Stock	Call Option (right to buy)	Acquisiton	2011-12-30	3,295	$0.37	329,500	$1.00
Common Stock	Call Option (right to buy)	Acquisiton	2011-12-30	1,700	$0.44	170,000	$1.00
Common Stock	Call Option (right to buy)	Acquisiton	2011-12-30	2,000	$0.47	200,000	$1.00
Common Stock	Call Option (right to buy)	Acquisiton	2012-01-03	32	$0.37	3,200	$1.00
Common Stock	Call Option (right to buy)	Acquisiton	2012-01-03	10,000	$0.52	1,000,000	$1.00
Common Stock	Call Option (right to buy)	Acquisiton	2012-01-12	3,500	$0.47	350,000	$1.00
Common Stock	Call Option (right to buy)	Acquisiton	2012-01-13	172	$0.37	17,200	$1.00
Common Stock	Call Option (right to buy)	Disposition	2012-01-18	47,000	$0.00	4,700,000	$6.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
46,820	2011-12-27	2012-03-15	No	4	P	Indirect
49,820	2011-12-27	2012-06-15	No	4	P	Indirect
51,820	2011-12-28	2012-03-15	No	4	P	Indirect
52,113	2011-12-28	2012-06-15	No	4	P	Indirect
58,113	2011-12-29	2012-06-15	No	4	P	Indirect
58,313	2011-12-29	2012-06-15	No	4	P	Indirect
59,313	2011-12-30	2012-03-15	No	4	P	Indirect
62,608	2011-12-30	2012-03-15	No	4	P	Indirect
64,308	2011-12-30	2012-06-15	No	4	P	Indirect
66,308	2011-12-30	2012-06-15	No	4	P	Indirect
66,340	2012-01-03	2012-03-15	No	4	P	Indirect
76,340	2012-01-03	2012-06-15	No	4	P	Indirect
79,840	2012-01-12	2012-06-15	No	4	P	Indirect
80,012	2012-01-13	2012-06-15	No	4	P	Indirect
33,012	2012-01-18	2012-06-15	No	4	S	Indirect

Footnotes

The securities reported herein are directly beneficially owned by Occitan Master Fund L.P. and may be deemed to be indirectly beneficially owned by Occitan Capital Management Inc. as General Partner of Occitan Master Fund L.P.
Each reporting person listed herein disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that such person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.