Alexza Pharmaceuticals Inc. 4

Accession 0001209191-16-129014

CIK 0001344413operating

Filed

Jun 20, 8:00 PM ET

Accepted

Jun 21, 3:54 PM ET

Size

25.3 KB

Accession

0001209191-16-129014

Form 4

Period: 2016-06-21

DirectorPres & CEO

Transactions

Disposition to Issuer
Stock Option (right to buy)
2016-06-21−19,576→ 0 total
Exercise: $15.30From: 2012-07-28Exp: 2021-07-28→ Common Stock (19,576 underlying)
Disposition from Tender
Common Stock
2016-06-21−37,224→ 0 total(indirect: By Trust)
Disposition from Tender
Common Stock
2016-06-21−40,000→ 0 total
Disposition to Issuer
Stock Option (right to buy)
2016-06-21−9,921→ 0 total
Exercise: $23.70From: 2016-06-03Exp: 2019-12-27→ Common Stock (9,921 underlying)
Disposition to Issuer
Stock Option (right to buy)
2016-06-21−5,453→ 0 total
Exercise: $21.00From: 2016-06-03Exp: 2019-02-23→ Common Stock (5,453 underlying)
Disposition to Issuer
Common Stock Warrant (right to buy)
2016-06-21−5,818.969→ 0 total
Exercise: $27.70From: 2009-10-05Exp: 2016-10-05→ Common Stock (5,818.969 underlying)
Disposition to Issuer
Stock Option (right to buy)
2016-06-21−400,000→ 0 total
Exercise: $1.08From: 2015-08-21Exp: 2025-07-21→ Common Stock (400,000 underlying)
Disposition to Issuer
Stock Option (right to buy)
2016-06-21−33,449→ 0 total
Exercise: $3.47From: 2013-07-26Exp: 2022-07-26→ Common Stock (33,449 underlying)
Disposition to Issuer
Stock Option (right to buy)
2016-06-21−50,001→ 0 total
Exercise: $4.42From: 2014-03-29Exp: 2023-03-28→ Common Stock (50,001 underlying)
Disposition to Issuer
Stock Option (right to buy)
2016-06-21−50,000→ 0 total
Exercise: $4.57From: 2015-06-27Exp: 2024-06-26→ Common Stock (50,000 underlying)

Footnotes (3)

[F1]Per the terms of the Agreement and Plan of Merger, dated 5/9/16, among the Issuer, Grupo Ferrer Internactional, S.A. and Ferrer Pharma Inc. (the "Agreement) and the Offer (as defined in the Agreement), each share of the Issuer's common stock was tendered for $0.90 per share in cash, without interest and less any required withholding taxes, plus one contractual contingent value right per share ("CVR") (as defined in the Agreement).
[F2]Pursuant to Section 3.5 of the Agreement, effective as of the Offer Closing, the warrant, was cancelled and, in consideration for such cancellation, the Reporting Person automatically received a lump-sum cash payment equal to (a) the total number of shares of the Company's common stock issuable upon the exercise of the warrant, multiplied by (b) the value of the warrant to purchase one share of Company's common stock, calculated in accordance with the Black-Scholes Option Value (as defined in Appendix B of the warrant), without interest and subject to any applicable tax withholding.
[F3]Disposed of per Section 3.4(a) of the Agreement, whereby each option that was outstanding immediately prior to the Offer Closing (as defined in the Agreement) was cancelled without consideration.

Documents

1 file

Alexza Pharmaceuticals Inc.

CIK 0001344413

Entity typeoperating

IncorporatedDE