UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 8-K

 

 

CURRENT REPORT

Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): June 25, 2015 (June 23, 2015)

 

 

ALEXZA PHARMACEUTICALS, INC.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   000-51820   77-0567768
(State or other jurisdiction
of incorporation)		   (Commission File
Number) 		  (IRS Employer
Identification No.)

 

Alexza Pharmaceuticals, Inc.

2091 Stierlin Court

Mountain View, California

   94043
(Address of principal executive offices)   (Zip Code)

Registrant’s telephone number, including area code: (650) 944-7000

(Former name or former address, if changed since last report)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 

Section 5 — Corporate Governance and Management

Item 5.07. Submission of Matters to a Vote of Security Holders.

On June 23, 2015, the Company held its 2015 Annual Meeting of the Stockholders (the “2015 Annual Meeting”) for the following purposes:

 

  •   to elect seven nominees for director, each to serve until the 2016 Annual Meeting of Stockholders and until his or her successor has been elected and qualified or until his or her earlier death, resignation or removal;

 

  •   to approve the Company’s 2015 Equity Incentive Plan;

 

  •   to approve the Company’s 2015 Employee Stock Purchase Plan;

 

  •   to approve the Company’s 2015 Non-Employee Director Stock Award Plan;

 

  •   to ratify the selection by the Audit and Ethics Committee of the Board of Directors of the Company of OUM & Co. LLP as the independent registered public accounting firm of the Company for its fiscal year ending December 31, 2015.

At the 2015 Annual Meeting, each of Thomas B. King, J. Kevin Buchi, Deepika R. Pakianathan, Ph.D., J. Leighton Read, M.D., Gordon Ringold, Ph.D., Isaac Stein and Joseph L. Turner was re-elected as a director of the Company. The stockholders of the Company approved the adoption of the 2015 Equity Incentive Plan, the 2015 Employee Stock Purchase Plan, and the 2015 Non-Employee Director Stock Award Plan. Lastly, the stockholders of the Company ratified the appointment of OUM & Co. LLP as the Company’s independent registered public accounting firm for the Company’s fiscal year ending December 31, 2015. The final voting results on each of the matters submitted to a vote of stockholders at the 2015 Annual Meeting are as follows:

 

     For    Withheld    Broker Non-Votes     

1. Election of Directors

            

Thomas B. King

    8,052,303    499,235    2,483,726   

J. Kevin Buchi

    7,972,910    578,628    2,483,726   

Deepika R. Pakianathan, Ph.D.

    8,070,174    481,364    2,483,726   

J. Leighton Read, M.D.

    8,071,946    479,592    2,483,726   

Gordon Ringold, Ph.D.

    8,096,970    454,568    2,483,726   

Isaac Stein

    7,992,770    558,768    2,483,726   

Joseph L. Turner

    7,991,443    560,095    2,483,726   
     For    Against    Abstentions     Broker Non-Votes

2. Approval of the 2015 Equity Incentive Plan

    7,775,211    741,692    34,635    2,483,726
     For    Against    Abstentions     Broker Non-Votes

3. Approval of the 2015 Employee Stock Purchase Plan

    8,068,572    451,239    31,727    2,483,726
     For    Against    Abstentions     Broker Non-Votes

4. Approval of the 2015 Non-Employee Director Stock Award Plan

    7,840,118    676,857    34,563    2,483,726
     For    Against    Abstentions     Uncast

5. Ratification of OUM & Co. LLP as independent registered public accounting firm for 2015

    9,438,595    236,194    61,326    1,299,149

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

ALEXZA PHARMACEUTICALS, INC.

Date: June 25, 2015

 

By:

/s/ Thomas B. King

Thomas B. King

President and Chief Executive Officer