0001209191-15-037024.txt : 20150429 0001209191-15-037024.hdr.sgml : 20150429 20150429165100 ACCESSION NUMBER: 0001209191-15-037024 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150428 FILED AS OF DATE: 20150429 DATE AS OF CHANGE: 20150429 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: Kamemoto Edwin S CENTRAL INDEX KEY: 0001612008 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51820 FILM NUMBER: 15813533 MAIL ADDRESS: STREET 1: C/O ALEXZA PHARMACEUTICALS INC. STREET 2: 2091 STIERLIN COURT CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-04-28 0 0001344413 Alexza Pharmaceuticals Inc. ALXA 0001612008 Kamemoto Edwin S C/O ALEXZA PHARMACEUTICALS, INC. 2091 STIERLIN COURT MOUNTAIN VIEW CA 94043 0 1 0 0 EVP, R&D and Quality Common Stock 6250 D Stock Option (right to buy) 1.95 2015-04-28 4 A 0 35000 0.00 A 2016-04-28 2025-04-27 Common Stock 35000 35000 D Consists of 6,250 previously reported shares issued as restricted stock units ("RSUs") under the Issuer's 2005 Equity Incentive Plan (the "Plan"). If the Issuer's common stock listed on the Nasdaq Global Market has traded at or above $8.63 on each trading day of any 30-day trading period after March 29, 2013 (the "Price Trigger"), then 50% of the RSUs will vest on the later of March 29, 2016 and the date on which the Price Trigger is met, and the remaining 50% of the RSUs will vest on the later of March 29, 2017 and the date on which the Price Trigger is met, provided in each case that the Reporting Person remains employed by the Company through the applicable vesting date. Grant to the Reporting Person of a stock option under the Plan. 25% vesting on the one year anniversary of the vesting commencement date and the remaining 75% vesting in equal monthly installments thereafter over 36 months, provided that if application of the vesting percentage at a given anniversary results in a fractional share, such fractional share will be rounded downward to the nearest whole share, with any rounding balance carried forward and applied to the number of shares for which such option will be exercisable, if at all, at the 36th monthly anniversary of the vesting commencement date, provided further that at the relevant vesting dates such optionee's consulting relationship has not been Terminated as defined in and as determined under the Plan. The option expires ten years after the date of grant. /s/ Brent D. Fassett, Attorney-in-Fact 2015-04-29