0001179110-13-015577.txt : 20131016 0001179110-13-015577.hdr.sgml : 20131016 20131016193506 ACCESSION NUMBER: 0001179110-13-015577 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: LACK WALTER J CENTRAL INDEX KEY: 0001207708 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-27628 FILM NUMBER: 131155050 4 1 edgar.xml FORM 4 - X0306 4 2013-10-11 1 0000919722 Astex Pharmaceuticals, Inc ASTX 0001207708 LACK WALTER J C/O ENGSTROM LIPSCOMB & LACK 10100 SANTA MONICA BLVD., 12TH FLOOR LOS ANGELES CA 90067-4113 1 0 0 0 Common Stock 2013-10-11 4 U 0 457500 D 0 D Director Stock Option (Right to buy) 7.79 2013-10-11 4 D 0 22500 D 2014-05-06 Common Stock 22500 0 D Director Stock Option (Right to buy) 5.89 2013-10-11 4 D 0 30000 D 2017-06-14 Common Stock 30000 0 D Director Stock Option (Right to buy) 2.10 2013-10-11 4 D 0 45000 D 2022-06-22 Common Stock 45000 0 D Director Stock Option (Right to buy) 4.60 2013-10-11 4 D 0 45000 D 2023-06-13 Common Stock 45000 0 D 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. The option provided for vesting as to 1/4th of the shares on May 6, 2004 and on each three month anniversary thereafter. Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $15,975.00, 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 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 $78,300.00, 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 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 $288,000.00, 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 $175,500.00, which represents the difference between $8.50 and the exercise price of the option per share. /s/ Walter J. Lack 2013-10-16