SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Buckland Martin

(Last) (First) (Middle)
C/O ASTEX PHARMACEUTICALS
436 CAMBRIDGE SCIENCE PARK MILTON ROAD

(Street)
CAMBRIDGE X0 CB4 0QA

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Astex Pharmaceuticals, Inc [ ASTX ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Chief Business Officer
3. Date of Earliest Transaction (Month/Day/Year)
10/11/2013
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 10/11/2013 U 5,963(1) D (2) 0 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (Right to buy) $0.7 10/11/2013 D 52,384 07/20/2011 09/30/2014 Common Stock 52,384 (3) 0 D
Employee Stock Option (Right to buy) $0.84 10/11/2013 D 26,192 07/20/2011 12/01/2015 Common Stock 26,192 (4) 0 D
Employee Stock Option (Right to buy) $0.87 10/11/2013 D 19,644 07/20/2011 12/01/2016 Common Stock 19,644 (5) 0 D
Employee Stock Option (Right to buy) $0.73 10/11/2013 D 26,192 (6) 06/24/2018 Common Stock 26,192 (7) 0 D
Employee Stock Option (Right to buy) $0.79 10/11/2013 D 32,085 (8) 06/22/2019 Common Stock 32,085 (9) 0 D
Employee Stock Option (Right to buy) $0.92 10/11/2013 D 98,220 (10) 05/28/2020 Common Stock 98,220 (11) 0 D
Employee Stock Option (Right to buy) $2.21 10/11/2013 D 150,000 (12) 09/16/2021 Common Stock 150,000 (13) 0 D
Employee Stock Option (Right to buy) $1.89 10/11/2013 D 180,000 (14) 03/07/2022 Common Stock 180,000 (15) 0 D
Employee Stock Option (Right to buy) $2.71 10/11/2013 D 180,000 (16) 12/06/2022 Common Stock 180,000 (17) 0 D
Explanation of Responses:
1. The number of shares disposed of represents 5,963 shares acquired under the Issuer's 2008 Employee Stock Purchase Plan.
2. Pursuant to the Agreement and Plan of Merger, dated September 5, 2013, between the Issuer, Otsuka Pharmaceutical Co. Ltd., and Autumn Aquisition Corporation (the "Merger Agreement"), each share of Common Stock was exchanged for $8.50 in cash.
3. Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $408,595.20, which represents the difference between $8.50 and the exercise price of the option per share.
4. Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $200,630,72, which represents the difference between $8.50 and the exercise price of the option per share.
5. Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $149,833.72, which represents the difference between $8.50 and the exercise price of the option per share.
6. The option originally provided for vesting as to 1/4th of the shares on June 24, 2009 and as to 1/48th of the shares on each one month anniversary thereafter.
7. Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $203,511.84, which represents the difference between $8.50 and the exercise price of the option per share.
8. The option originally provided for vesting as to 1/4th of the shares on June 22, 2010 and as to 1/48th of the shares on each one month anniversary thereafter.
9. Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $247,375.35, which represents the difference between $8.50 and the exercise price of the option per share.
10. The option originally provided for vesting as to 1/4th of the shares on May 28, 2011 and as to 1/48th of the shares on each one month anniversary thereafter. Pursuant to the Merger Agreement, the option vested in full immediately prior to the closing of the merger.
11. Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $744,507.60, which represents the difference between $8.50 and the exercise price of the option per share.
12. The option originally provided for vesting as to 1/4th of the shares on September 16, 2012 and as to 1/48th of the shares on each one month anniversary thereafter. Pursuant to the Merger Agreement, the option vested in full immediately prior to the closing of the merger.
13. Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $943,500.00, which represents the difference between $8.50 and the exercise price of the option per share.
14. The option originally provided for vesting as to 1/48th of the shares on April 7, 2012 and each one month anniversary thereafter. Pursuant to the Merger Agreement, the option vested in full immediately prior to the closing of the merger.
15. Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $1,189,800.00, which represents the difference between $8.50 and the exercise price of the option per share.
16. The option originally provided for vesting as to 1/48th of the shares on January 6, 2013 and each one month anniversary thereafter. Pursuant to the Merger Agreement, the option vested in full immediately prior to the closing of the merger.
17. Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $1,042,200.00, which represents the difference between $8.50 and the exercise price of the option per share.
/s/ Martin Buckland 10/16/2013
** Signature of Reporting Person Date
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