0001209191-12-059485.txt : 20121227 0001209191-12-059485.hdr.sgml : 20121227 20121227162728 ACCESSION NUMBER: 0001209191-12-059485 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121226 FILED AS OF DATE: 20121227 DATE AS OF CHANGE: 20121227 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Simms Michael J CENTRAL INDEX KEY: 0001427117 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51820 FILM NUMBER: 121287665 MAIL ADDRESS: STREET 1: 2091 STIERLIN COURT CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 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 4 1 c30874_4x0.xml MAIN DOCUMENT DESCRIPTION X0306 4 2012-12-26 0001344413 Alexza Pharmaceuticals Inc. ALXA 0001427117 Simms Michael J ALEXZA PHARMACEUTICALS INC. 2091 STIERLIN COURT MOUNTAIN VIEW CA 94043 0 1 0 0 SVP, Operations & Manuf Common Stock 2012-12-26 4 S 0 4558 4.8959 D 4180 D Represents shares issued as restricted stock units (an "RSU") under the Issuer's 2005 Equity Incentive Plan that vested in full on December 21, 2012. The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on July 25, 2012. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.77 to $4.99, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. /s/ Brent D. Fassett, Attorney-in-Fact 2012-12-27