ALXA » Topics » TABLE OF CONTENTS

This excerpt taken from the ALXA 10-K filed Mar 9, 2010.
TABLE OF CONTENTS
 
                 
PART I
  Item 1.     Business     3  
  Item 1A.     Risk Factors     27  
  Item 1B     Unresolved Staff Comments     44  
  Item 2.     Properties     44  
  Item 3.     Legal Proceedings     44  
 
PART II
  Item 5.     Market for Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities     44  
  Item 5A.     Quarterly Stock Price Information and Registered Shareholders     44  
  Item 5B.     Use of Proceeds from the Sale of Registered Securities     45  
  Item 5C.     Treasury Stock     45  
  Item 6.     Selected Financial Data     45  
  Item 7.     Management’s Discussion and Analysis of Financial Condition and Results of Operations     46  
  Item 7A.     Quantitative and Qualitative Disclosures About Market Risks     60  
  Item 8.     Financial Statements and Supplementary Data     61  
  Item 9.     Changes in and Disagreements With Accountants on Accounting and Financial Disclosure     98  
  Item 9A.     Controls and Procedures     98  
  Item 9B.     Other Information     100  
 
PART III
  Item 10.     Directors and Executive Officers of the Registrant     100  
  Item 11.     Executive Compensation     100  
  Item 12.     Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters     100  
  Item 13.     Certain Relationships and Related Transactions and Director Independence     101  
  Item 14.     Principal Accountant Fees and Services     101  
 
PART IV
  Item 15.     Exhibits and Financial Statement Schedules     101  
Signatures     105  
Exhibits Index     107  
 EX-10.55
 EX-10.56
 EX-21.1
 EX-23.1
 EX-31.1
 EX-31.2
 EX-32.1


2


Table of Contents

The names “Alexza” and “Staccato” are trademarks of Alexza Pharmaceuticals, Inc. We have registered the trademarks “Alexza Pharmaceuticals,” “Alexza” and “Staccato” with the U.S. Patent and Trademark Office. All other trademarks, trade names and service marks appearing in this Annual Report on Form 10-K are the property of their respective owners.
 
TABLE OF CONTENTS
 
             
  Business     3  
  Risk Factors     31  
  Unresolved Staff Comments     48  
  Properties     48  
  Legal Proceedings     48  
  Submission of Matters to a Vote of Security Holders     48  
 
PART II
  Market for Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities     48  
  Use of Proceeds from the Sale of Registered Securities     48  
  Treasury Stock     48  
  Selected Financial Data     49  
  Management’s Discussion and Analysis of Financial Condition and Results of Operations     50  
  Quantitative and Qualitative Disclosures About Market Risks     65  
  Financial Statements and Supplementary Data     66  
  Changes in and Disagreements With Accountants on Accounting and Financial Disclosure     103  
  Controls and Procedures     103  
  Other Information     105  
 
PART III
  Directors and Executive Officers of the Registrant     105  
  Executive Compensation     105  
  Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters     105  
  Certain Relationships and Related Transactions and Director Independence     106  
  Principal Accountant Fees and Services     106  
 
PART IV
  Exhibits and Financial Statement Schedules     106  
    110  
    112  
 EX-10.3
 EX-10.42
 EX-21.1
 EX-23.1
 EX-31.1
 EX-31.2
 EX-32.1


2


Table of Contents

The names “Alexza” and “Staccato” are trademarks of Alexza Pharmaceuticals, Inc. We have registered the trademarks “Alexza Pharmaceuticals,” “Alexza” and “Staccato” with the U.S. Patent and Trademark Office. All other trademarks, trade names and service marks appearing in this Annual Report on Form 10-K are the property of their respective owners.
 
TABLE OF
CONTENTS



 





































































































































































































































































             





 

Business

 
 

3
 



 

Risk Factors

 
 

31
 



 

Unresolved Staff Comments

 
 

48
 



 

Properties

 
 

48
 



 

Legal Proceedings

 
 

48
 



 

Submission of Matters to a Vote of Security
Holders


 
 

48
 

 

PART II



 

Market for Registrant’s Common Equity,
Related Stockholder Matters and Issuer Purchases of Equity
Securities


 
 

48
 



 

Use of Proceeds from the Sale of Registered
Securities


 
 

48
 



 

Treasury Stock

 
 

48
 



 

Selected Financial Data

 
 

49
 



 

Management’s Discussion and Analysis of
Financial Condition and Results of Operations


 
 

50
 



 

Quantitative and Qualitative Disclosures About
Market Risks


 
 

65
 



 

Financial Statements and Supplementary Data

 
 

66
 



 

Changes in and Disagreements With Accountants on
Accounting and Financial Disclosure


 
 

103
 



 

Controls and Procedures

 
 

103
 



 

Other Information

 
 

105
 

 

PART III



 

Directors and Executive Officers of the
Registrant


 
 

105
 



 

Executive Compensation

 
 

105
 



 

Security Ownership of Certain Beneficial Owners
and Management and Related Stockholder Matters


 
 

105
 



 

Certain Relationships and Related Transactions
and Director Independence


 
 

106
 



 

Principal Accountant Fees and Services

 
 

106
 

 

PART IV



 

Exhibits and Financial Statement Schedules

 
 

106
 



 
 

110
 



 
 

112
 
 EX-10.3
 EX-10.42
 EX-21.1
 EX-23.1
 EX-31.1
 EX-31.2
 EX-32.1













2





Table of Contents






The names “Alexza” and “Staccato” are
trademarks of Alexza Pharmaceuticals, Inc. We have registered
the trademarks “Alexza Pharmaceuticals,”
“Alexza” and “Staccato” with the
U.S. Patent and Trademark Office. All other trademarks,
trade names and service marks appearing in this Annual Report on
Form 10-K
are the property of their respective owners.


 




TABLE OF CONTENTS
 
                 
  Business   3
  Risk Factors   24
  Unresolved Staff Comments   40
  Properties   43
  Legal Proceedings   43
  Submission of Matters to a Vote of Security Holders   43
 
  Market for Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities   44
  Use of Proceeds from the Sale of Registered Securities   45
  Treasury Stock   45
  Selected Financial Data   46
  Management’s Discussion and Analysis of Financial Condition and Results of Operations   47
  Quantitative and Qualitative Disclosures About Market Risks   57
  Financial Statements and Supplementary Data   58
  Changes in and Disagreements With Accountants on Accounting and Financial Disclosure   91
  Controls and Procedures   91
  Other Information   91
 
  Directors and Executive Officers of the Registrant   91
  Executive Compensation   92
  Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters   101
  Certain Relationships and Related Transactions and Director Independence   104
  Principal Accountant Fees and Services   105
 
  Exhibits and Financial Statement Schedules   105
  108
  110
 EXHIBIT 23.1
 EXHIBIT 31.1
 EXHIBIT 31.2
 EXHIBIT 32.1


2


Table of Contents

The name “Alexza,” “Alexza Pharmaceuticals” and “Staccato” are registered trademarks of Alexza Pharmaceuticals, Inc. All other trademarks, trade names and service marks appearing in this Annual Report on Form 10-K/A are the property of their respective owners.
 
TABLE OF CONTENTS
 
                 
  Business   3
  Risk Factors   24
  Unresolved Staff Comments   40
  Properties   43
  Legal Proceedings   43
  Submission of Matters to a Vote of Security Holders   43
 
  Market for Registrant’s Common Equity, Related Stockholder Matters and Issuer Purchases of Equity Securities   44
  Use of Proceeds from the Sale of Registered Securities   45
  Treasury Stock   45
  Selected Financial Data   46
  Management’s Discussion and Analysis of Financial Condition and Results of Operations   47
  Quantitative and Qualitative Disclosures About Market Risks   57
  Financial Statements and Supplementary Data   58
  Changes in and Disagreements With Accountants on Accounting and Financial Disclosure   91
  Controls and Procedures   91
  Other Information   91
 
  Directors and Executive Officers of the Registrant   91
  Executive Compensation   92
  Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters   101
  Certain Relationships and Related Transactions and Director Independence   104
  Principal Accountant Fees and Services   105
 
  Exhibits and Financial Statement Schedules   105
  108
  110
 EXHIBIT 3.7
 EXHIBIT 10.24
 EXHIBIT 10.25
 EXHIBIT 10.26
 EXHIBIT 10.27
 EXHIBIT 10.28
 EXHIBIT 10.29
 EXHIBIT 10.30
 EXHIBIT 10.31
 EXHIBIT 10.32
 EXHIBIT 10.33
 EXHIBIT 14.1
 EXHIBIT 23.1
 EXHIBIT 31.1
 EXHIBIT 31.2
 EXHIBIT 32.1


2


Table of Contents

The name “Alexza,” “Alexza Pharmaceuticals” and “Staccato” are registered trademarks of Alexza Pharmaceuticals, Inc. All other trademarks, trade names and service marks appearing in this Annual Report on Form 10-K are the property of their respective owners.
 
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