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