Filing Details

Accession Number:
0001209191-12-043660
Form Type:
4
Zero Holdings:
No
Publication Time:
2012-08-29 17:35:24
Reporting Period:
2012-08-27
Filing Date:
2012-08-29
Accepted Time:
2012-08-29 17:35:24
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
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 Disposition 2012-08-27 10,000 $4.14 10,229 No 4 S Direct
Common Stock Disposition 2012-08-14 1,116 $0.00 9,113 No 5 G Direct
Common Stock Acquisiton 2012-08-14 1,116 $0.00 20,482 No 5 G Indirect By The Thomas B. and Beth King 2000 Family Trust, as co-trustee
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 5 G Direct
No 5 G Indirect By The Thomas B. and Beth King 2000 Family Trust, as co-trustee
Footnotes
  1. Represents shares issued as restricted stock units (an "RSU") under the Issuer's 2005 Equity Incentive Plan (the "Plan") that vested in full on August 24, 2012. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on July 25, 2012.
  2. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.05 to $4.25, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
  3. Reflects the shares held by the Reporting Person following the ten-for-one reverse split of the Issuer's outstanding common stock implemented on June 12, 2012 and includes, as previously reported 9,113 RSUs granted under the Plan pursuant to the terms of the Issuer's 2009-2010 Performance Based Incentive Program that will vest on the date the U.S. Food and Drug Administration approves the Issuer's New Drug Application for its ADASUVE (Staccato loxapine) product candidate, if ever, 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.
  4. Reflects the shares held indirectly by the Reporting Person following the ten-for-one reverse split of the Issuer's outstanding common stock implemented on June 12, 2012.