0001209191-16-129004.txt : 20160621 0001209191-16-129004.hdr.sgml : 20160621 20160621154753 ACCESSION NUMBER: 0001209191-16-129004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160621 FILED AS OF DATE: 20160621 DATE AS OF CHANGE: 20160621 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Alexza Pharmaceuticals Inc. CENTRAL INDEX KEY: 0001344413 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 770567768 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2091 STIERLIN COURT CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 BUSINESS PHONE: 650.944.7000 MAIL ADDRESS: STREET 1: 2091 STIERLIN COURT CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RINGOLD GORDON CENTRAL INDEX KEY: 0001101713 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51820 FILM NUMBER: 161724339 MAIL ADDRESS: STREET 1: 325 EAST MIDDLEFIELD AVENUE CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-06-21 1 0001344413 Alexza Pharmaceuticals Inc. ALXA 0001101713 RINGOLD GORDON C/O ALEXZA PHARMACEUTICALS, INC. 2091 STIERLIN COURT MOUNTAIN VIEW CA 94043 1 0 0 0 Common Stock 2016-06-21 4 U 0 32392 D 0 D Common Stock 2016-06-21 4 U 0 927 D 0 I Held by spouse Common Stock 2016-06-21 4 U 0 927 D 0 I By the Gordon Ringold & Tanya Zarucki 1999 Reversible Trust, as co-trustees Stock Option (right to buy) 1.28 2016-06-21 4 D 0 12500 0.00 D 2016-06-03 2025-06-22 Common Stock 12500 0 D Stock Option (right to buy) 4.35 2016-06-21 4 D 0 12500 0.00 D 2015-06-10 2024-06-09 Common Stock 12500 0 D Stock Option (right to buy) 4.68 2016-06-21 4 D 0 11606 0.00 D 2013-06-21 2023-05-20 Common Stock 11606 0 D Stock Option (right to buy) 3.50 2016-06-21 4 D 0 3991 0.00 D 2012-07-06 2022-06-06 Common Stock 3991 0 D Stock Option (right to buy) 15.30 2016-06-21 4 D 0 3125 0.00 D 2011-08-28 2021-07-28 Common Stock 3125 0 D Stock Option (right to buy) 35.20 2016-06-21 4 D 0 625 0.00 D 2010-06-18 2020-05-18 Common Stock 625 0 D Stock Option (right to buy) 16.90 2016-06-21 4 D 0 625 0.00 D 2009-06-07 2019-05-07 Common Stock 625 0 D Stock Option (right to buy) 53.30 2016-06-21 4 D 0 625 0.00 D 2008-06-27 2018-05-27 Common Stock 625 0 D Stock Option (right to buy) 98.50 2016-06-21 4 D 0 625 0.00 D 2007-06-23 2017-05-23 Common Stock 625 0 D 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). 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. /s/ Brent D. Fassett, as Attorney-in-Fact for Gordon Ringold 2016-06-21