-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, BAS58Pj8zZtPPClRWLpRvy+FFts0Kf0DDtfSXf6/BOO1dw37eRT5C4LG9L6wt55P aqoctEtePlAqOqJZL/JEyw== 0001193125-11-030473.txt : 20110210 0001193125-11-030473.hdr.sgml : 20110210 20110210144728 ACCESSION NUMBER: 0001193125-11-030473 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20110210 DATE AS OF CHANGE: 20110210 GROUP MEMBERS: ABINGWORTH LLP SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-82505 FILM NUMBER: 11591814 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Abingworth Management LTD CENTRAL INDEX KEY: 0001291892 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 38 JERMYN STREET CITY: LONDON STATE: X0 ZIP: SW1Y 6DN BUSINESS PHONE: 44 20 7534 1508 MAIL ADDRESS: STREET 1: 38 JERMYN STREET CITY: LONDON STATE: X0 ZIP: SW1Y 6DN SC 13G/A 1 dsc13ga.htm SCHEDULE 13G AMENDMENT NO. 4 Schedule 13G Amendment No. 4
CUSIP No. 15384100   13G   Page 1 of 5

 

 

 

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

SCHEDULE 13G

(Rule 13d-102)

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO

RULES 13d-1 (b) (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO

RULE 13d-2(b)

(Amendment No. 4 )*

 

 

 

Alexza Pharmaceuticals, Inc.

(Name of Issuer)

 

 

 

Common Stock, $0.01 par value per share

(Title of Class of Securities)

 

15384100

(CUSIP Number)

 

December 31, 2010

(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)

x 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 (“Act”) 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. 15384100   13G   Page 2 of 5

 

 

Item 1  

(a).

    Name of Issuer:      
     Alexza Pharmaceuticals, Inc. (the “Issuer”)      
Item 1  

(b).

    Address of Issuer’s Principal Executive Offices:      
    

2091 Stierlin Court,

Mountain View CA 94043

      
Item 2  

(a).

    Name of Persons Filing:      
     Abingworth Management Limited and Abingworth LLP. The foregoing individuals are collectively referred to as the “Reporting Persons.”
Item 2  

(b).

    Address of Principal Business Office or, if None, Residence:      
     The business address for Abingworth Management Limited and Abingworth LLP is Princes House, 38 Jermyn Street, London, England SW1Y 6DN.
Item 2  

(c).

    Citizenship:      
     Abingworth Management Limited is a corporation organized under the laws of England. Abingworth LLP is a limited liability partnership organized under the laws of England.
Item 2  

(d).

    Title of Class of Securities:      
     Common Stock, $0.01 par value per share (“Common Stock”)      
Item 2  

(e).

    CUSIP Number:      
     15384100      
Item 3.   If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person filing is a:
  Not applicable.      

CUSIP No. 15384100   13G   Page 3 of 5

 

 

Item 4.    Ownership.      
   Not applicable.      
Item 5.    Ownership of Five Percent or Less of a Class.   
   Each of the Reporting Persons has ceased to own beneficially five percent (5%) or more of the Issuer’s outstanding Common Stock.
Item 6.    Ownership of More than Five Percent on Behalf of Another Person.      
   Not applicable.      
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.    Certification.      
   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.

CUSIP No. 15384100   13G   Page 4 of 5

 

SIGNATURE

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.

 

Date: February 10, 2011
ABINGWORTH MANAGEMENT LIMITED
By:   

  /s/ James Abell

   Name:    James Abell
   Title:    Executive Director
ABINGWORTH LLP
By:   

  /s/ James Abell

   Name:    James Abell
   Title:    Member

CUSIP No. 15384100   13G   Page 5 of 5

 

Exhibit 1

AGREEMENT

Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, the undersigned hereby agree that only one statement containing the information required by Schedule 13G need be filed with respect to the ownership by each of the undersigned of shares of Common Stock of Alexza Pharmaceuticals, Inc.

 

Date: February 10, 2011
ABINGWORTH MANAGEMENT LIMITED
By:  

  /s/ James Abell

  Name:   James Abell
  Title:   Executive Director
ABINGWORTH LLP
By:  

  /s/ James Abell

  Name:   James Abell
  Title:   Member
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