Filing Details

Accession Number:
0000899140-16-001336
Form Type:
13G Filing
Publication Date:
2016-03-28 16:55:39
Filed By:
Teva Pharmaceutical Industries Ltd
Company:
Alexza Pharmaceuticals Inc. (NASDAQ:ALXA)
Filing Date:
2016-03-28
SEC Url:
13G Filing
Ownership Summary

Please notice the below summary table is generated without human intervention and may contain errors. Please refer to the complete filing displayed below for exact figures.

Name Sole Voting Power Shared Voting Power Sole Dispositive Power Shared Dispositive Power Aggregate Amount Owned Power Percent of Class
Teva Pharmaceutical Industries Limited 2,172,886 2,172,886 2,172,886 9.99%
Teva Pharmaceuticals USA, Inc 2,172,886 2,172,886 2,172,886 9.99%
Filing
 
 
 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 


SCHEDULE 13G
Under the Securities Exchange Act of 1934
 
 


ALEXZA PHARMACEUTICALS, INC.
 (Name of Issuer)
Common Stock, $0.0001 Par Value
(Title of Class of Securities)
CUSIP 015384 209
February 23, 2016
(Date of Event Which Requires Filing of this Statement)
 
 


Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
Rule 13d-1(b)
Rule 13d-1(c)
  Rule 13d-1(d)
The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
 
 

CUSIP No. 015384 209
 
Page 2 of 7 

 
             
  1 
 
Name of reporting person
 
Teva Pharmaceutical Industries Limited
  2
 
Check the appropriate box if a member of a group
(a)  ☐        (b)  ☒
 
 
  3
 
SEC use only
 
 
  4
 
Citizenship or place of organization
 
    Israel
 
Number of
shares
beneficially
owned by
each
reporting
person
with
 
 
 
Sole voting power
 
    None
 
 
6
 
Shared voting power
 
    2,172,886
 
 
7
 
Sole dispositive power
 
    None
 
 
8
 
Shared dispositive power
 
    2,172,886
 
  9
 
Aggregate amount beneficially owned by each reporting person
 
    2,172,886
 
10
 
Check box if the aggregate amount in Row (9) excludes certain shares    ☐
 
 
11
 
Percent of class represented by amount in Row (11)
 
    9.99%1
 
12
 
Type of reporting person
 
    CO
 

 
 

 

1 Based on 21,750,615 shares of Common Stock outstanding as of February 19, 2016 as provided by Alexza Pharmaceuticals, Inc.
 
 
 
 
 
 
 
CUSIP No. 015384 209
 
Page 3 of 7 

 
             
  1 
 
Name of reporting person
 
Teva Pharmaceuticals USA, Inc.
  2
 
Check the appropriate box if a member of a group
(a)          (b)  
 
 
  3
 
SEC use only
 
 
  4
 
Citizenship or place of organization
 
    Delaware
 
Number of
shares
beneficially
owned by
each
reporting
person
with
 
 
 
Sole voting power
 
    None
 
 
6
 
Shared voting power
 
    2,172,886
 
 
7
 
Sole dispositive power
 
    None
 
 
8
 
Shared dispositive power
 
    2,172,886
 
  9
 
Aggregate amount beneficially owned by each reporting person
 
    2,172,886
 
10
 
Check box if the aggregate amount in Row (9) excludes certain shares    
 
 
11
 
Percent of class represented by amount in Row (11)
 
    9.99%2
 
12
 
Type of reporting person
 
    CO
 



2 Based on 21,750,615 shares of Common Stock outstanding as of February 19, 2016 as provided by Alexza Pharmaceuticals, Inc.
 
 
 
CUSIP No. 015384 209
 
Page 4 of 7 

 
             
Item 1.
           
     
   
(a)
 
Name of Issuer:
     
       
Alexza Pharmaceuticals, Inc. (the “Company”)
     
   
(b)
 
Address of Issuer’s Principal Executive Offices:
       
 
2091 Stierlin Court
       
Mountain View, CA 94043
     
Item 2.
       
     
   
(a)
 
Name of Persons Filing
     
       
This Schedule 13G is being filed by Teva Pharmaceutical Industries Limited (“Teva”) and Teva Pharmaceuticals USA, Inc. (“Teva USA”), as joint filers (together, the “Reporting Persons”). Teva USA is an indirect, wholly owned subsidiary of Teva.  The Reporting Persons have entered into a Joint Filing Agreement, a copy of which is filed with this Schedule 13G, pursuant to which the Reporting Persons have agreed to file this Schedule 13G jointly in accordance with the provisions of Rule 13d-1(k) of the Securities Exchange Act of 1934, as amended.
     
   
(b)
 
Address of Principal Offices or, if none, Residence:
     
       
The principal business office of Teva is 5 Basel Street, P.O. Box 3190, Petach Tikva 4951033, Israel.
 
The principal business office of Teva USA is 1090 Horsham Road, North Wales, PA 19454.
     
   
(c)
 
Citizenship
     
       
Please see Item 4 of each cover page.
     
   
(d)
 
Title of Class of Securities
 
Common Stock, $0.0001 par value (‘Common Stock”)
     
   
(e)
 
CUSIP Number
     
       
 
015384 209
 
 
 
 
CUSIP No. 015384 209
 
Page 5 of 7 

 
Item 3.  If this statement is filed pursuant to Rule 13d-1(b) or 13d-2(b), check whether the person filing is a:
(a)
Broker or Dealer registered under section 15 of the Act (15 U.S.C. 78o).
(b)
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
(c)
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
(d)
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
(e)
An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
(f)
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
(g)
A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
(h)
A savings association as defined in section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
(i)
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
(j)
Group, in accordance with §240.13d-1(b)(1)(ii)(J).
     
Item 4.  Ownership
     
   
Teva
     
   
Number of Shares: 2,172,886
   
Percentage of Outstanding Shares: 9.99%3
   
Sole Voting Power: None.
   
Shared Voting Power: 2,172,886
   
Sole Dispositive Power: None.
   
Shared Dispositive Power: 2,172,886
     
     
   
Teva USA
     
   
Number of Shares: 2,172,886
   
Percentage of Outstanding Shares: 9.99%4
   
Sole Voting Power: None.
   
Shared Voting Power: 2,172,886
   
Sole Dispositive Power: None.
   
Shared Dispositive Power: 2,172,886
     
     
Item 5.  Ownership of Five Percent or Less of a Class
     
   
Not applicable.
     
     
Item 6.  Ownership of more than Five Percent on Behalf of another Person
     
   
Not applicable.
     
     
     
     
     
 
 
 
____________________________
3 Based on 21,750,615 shares of Common Stock outstanding as of February 19, 2016 as provided by Alexza Pharmaceuticals, Inc.
4 Based on 21,750,615 shares of Common Stock outstanding as of February 19, 2016 as provided by Alexza Pharmaceuticals, Inc.
 
 
 
 
 
 
 
 
 
CUSIP No. 015384 209
 
Page 6 of 7 

 
Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person
   
 
Not applicable.
   
Item 8.
Identification and Classification of Members of the Group
   
 
Not applicable.
   
Item 9.
Notice of Dissolution of Group
   
 
Not applicable.
   
Item 10.
Certifications
   
 
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
 
 

Exhibits
Joint Filing Agreement attached as Exhibit A.
 
 
 
 
CUSIP No. 015384 209
 
Page 7 of 7 


After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
 
     
March 28, 2016
 
 
TEVA PHARMACEUTICALS USA, INC.
   
   
By:
 
/s/ Deborah A. Griffin                                                          
   
Name: Deborah A. Griffin
Title: SVP & Chief Accounting Officer
 
 
TEVA PHARMACEUTICAL INDUSTRIES LIMITED
   
   
By:
 
/s/ Eyal Desheh _________________________________
   
Name: Eyal Desheh
Title: Group Executive Vice President and Chief Financial Officer