0001179110-13-015573.txt : 20131016
0001179110-13-015573.hdr.sgml : 20131016
20131016193349
ACCESSION NUMBER: 0001179110-13-015573
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20131011
FILED AS OF DATE: 20131016
DATE AS OF CHANGE: 20131016
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Astex Pharmaceuticals, Inc
CENTRAL INDEX KEY: 0000919722
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 911841574
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 4140 DUBLIN BLVD
STREET 2: SUITE 200
CITY: DUBLIN
STATE: CA
ZIP: 94568
BUSINESS PHONE: 9255600100
MAIL ADDRESS:
STREET 1: 4140 DUBLIN BLVD
STREET 2: STE 200
CITY: DUBLIN
STATE: CA
ZIP: 94568
FORMER COMPANY:
FORMER CONFORMED NAME: SUPERGEN INC
DATE OF NAME CHANGE: 19960125
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Goldberg Allan R
CENTRAL INDEX KEY: 0001319793
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-27628
FILM NUMBER: 131155047
MAIL ADDRESS:
STREET 1: C/O THE CHANNEL GROUP LLC
STREET 2: 200 EAST 66TH STREET (E-1607)
CITY: NEW YORK
STATE: NY
ZIP: 10021
4
1
edgar.xml
FORM 4 -
X0306
4
2013-10-11
1
0000919722
Astex Pharmaceuticals, Inc
ASTX
0001319793
Goldberg Allan R
719 DOWNING STREET
TEANECK
NJ
07666
1
0
0
0
Director Stock Option (Right to buy)
4.89
2013-10-11
4
D
0
50000
D
2015-03-04
Common Stock
50000
0
D
Director Stock Option (Right to buy)
4.84
2013-10-11
4
D
0
7500
D
2015-05-12
Common Stock
7500
0
D
Director Stock Option (Right to buy)
3.97
2013-10-11
4
D
0
10000
D
2016-06-09
Common Stock
10000
0
D
Director Stock Option (Right to buy)
3.65
2013-10-11
4
D
0
8889
D
2016-07-26
Common Stock
8889
0
D
Director Stock Option (Right to buy)
5.89
2013-10-11
4
D
0
10000
D
2017-06-14
Common Stock
10000
0
D
Director Stock Option (Right to buy)
4.03
2013-10-11
4
D
0
8621
D
2017-09-17
Common Stock
8621
0
D
Director Stock Option (Right to buy)
2.01
2013-10-11
4
D
0
10000
D
2018-06-12
Common Stock
10000
0
D
Director Stock Option (Right to buy)
1.89
2013-10-11
4
D
0
12658
D
2018-07-28
Common Stock
12658
0
D
Director Stock Option (Right to buy)
1.98
2013-10-11
4
D
0
10000
D
2019-06-11
Common Stock
10000
0
D
Director Stock Option (Right to buy)
2.70
2013-10-11
4
D
0
10204
D
2019-07-28
Common Stock
10204
0
D
Director Stock Option (Right to buy)
3.26
2013-10-11
4
D
0
7500
D
2019-09-17
Common Stock
7500
0
D
Director Stock Option (Right to buy)
2.14
2013-10-11
4
D
0
25000
D
2020-06-10
Common Stock
25000
0
D
Director Stock Option (Right to buy)
1.94
2013-10-11
4
D
0
15267
D
2020-07-26
Common Stock
15267
0
D
Director Stock Option (Right to buy)
2.92
2013-10-11
4
D
0
15000
D
2021-06-16
Common Stock
15000
0
D
Director Stock Option (Right to buy)
2.92
2013-10-11
4
D
0
833
D
2011-06-16
2021-06-16
Common Stock
833
0
D
Director Stock Option (Right to buy)
2.10
2013-10-11
4
D
0
20000
D
2022-06-22
Common Stock
20000
0
D
Director Stock Option (Right to buy)
4.60
2013-10-11
4
D
0
20000
D
2023-06-13
Common Stock
20000
0
D
The option provided for vesting as to 20% of the shares on March 4, 2005 and each one year anniversary thereafter.
Pursuant to the Agreement and Plan of Merger, dated September 5, 2013, between the Issuer, Otsuka Pharmaceutical Co., Ltd., and Autumn Acquisition Corporation (the "Merger Agreement"), the option was cancelled in exchange for a cash payment of $180,500.00, which represents the difference between $8.50 and the exercise price of the option per share.
The option provided for vesting as to 1/4th of the shares on May 12, 2005 and on each three month anniversary thereafter.
Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $27,450.00, which represents the difference between $8.50 and the exercise price of the option per share.
The option provided for vesting as to 1/4th of the shares on June 9, 2006 and on each three month anniversary thereafter.
Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $45,300.00, which represents the difference between $8.50 and the exercise price of the option per share.
The option provided for vesting as to 1/12th of the shares on August 26, 2006 and on each one month anniversary thereafter.
Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $43,111.65, which represents the difference between $8.50 and the exercise price of the option per share.
The option provided for vesting as to 1/4th of the shares on June 14, 2007 and on each three month anniversary thereafter.
Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $26,100.00, which represents the difference between $8.50 and the exercise price of the option per share.
The option provided for vesting as to as to 1/12th of the shares on August 26, 2007 and on each one month anniversary thereafter.
Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $38,535.87, which represents the difference between $8.50 and the exercise price of the option per share.
The option provided for vesting as to 1/4th of the shares on June 12, 2008 and on each three month anniversary thereafter.
Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $64,900.00, which represents the difference between $8.50 and the exercise price of the option per share.
The option provided for vesting as to as to 1/12th of the shares on August 28, 2008 and on each one month anniversary thereafter.
Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $83,669.38 which represents the difference between $8.50 and the exercise price of the option per share.
The option provided for vesting as to 1/4th of the shares on June 11, 2009 and on each three month anniversary thereafter.
Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $65,200.00, which represents the difference between $8.50 and the exercise price of the option per share.
The option provided for vesting as to as to 1/12th of the shares on August 28, 2009 and on each one month anniversary thereafter.
Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $59,183.20, which represents the difference between $8.50 and the exercise price of the option per share.
The option provided for vesting as to 1/4th of the shares on September 17, 2009 and on each three month anniversary thereafter.
Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $39,300.00, which represents the difference between $8.50 and the exercise price of the option per share.
The option provided for vesting as to 1/4th of the shares on June 10, 2010 and on each three month anniversary thereafter.
Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $159,000.00, which represents the difference between $8.50 and the exercise price of the option per share.
The option provided for vesting as to as to 1/12th of the shares on August 26, 2010 and on each one month anniversary thereafter.
Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $100,151.52, which represents the difference between $8.50 and the exercise price of the option per share.
The option provided for vesting as to 1/4th of the shares on June 16, 2011 and on each three month anniversary thereafter.
Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $83,700.00, which represents the difference between $8.50 and the exercise price of the option per share.
Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $4,648.14, which represents the difference between $8.50 and the exercise price of the option per share.
The option provided for vesting as to 1/4th of the shares on June 22, 2012 and on each three month anniversary thereafter.
Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $128,000.00, which represents the difference between $8.50 and the exercise price of the option per share.
The option originally provided for vesting as to 1/4th of the shares on June 13, 2013 and on each three month anniversary thereafter. Pursuant to the Merger Agreement, the option vested in full immediately prior to the closing of the merger.
Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $78,000.00, which represents the difference between $8.50 and the exercise price of the option per share.
/s/ Allan R. Goldberg
2013-10-16