SEC Form 4 · accession 0001209191-18-038814
ALIMERA SCIENCES INC · ALIM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark J Brooks
Director
Period of report
Jun 19, 2018
Accepted (ET)
Jun 20, 2018 · 5:06 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001267602
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2,F1 | $0.86 | Jun 19, 2018 | A | 40,000 | A | — | Jun 18, 2028 | Common Stock | 40,000 | 40,000 | I |
Explanation of responses
- F1Exercisable in equal monthly installments over 12 months starting one month after the grant date, provided the Reporting Person provides continuous service to the Issuer through the applicable vesting date.
- F2Pursuant to the policies of Scale Venture Management I, LLC and BAVP, LP (together "Scale Partners") and Scale Management LLC ("Scale Management") the Reporting Person is deemed to hold the reported security for the benefit of Scale Management, and must exercise the option solely at the direction of Scale Partners. Scale Management may be deemed the indirect beneficial owner of the security. The Reporting Person disclaims beneficial ownership of the security except to the extent of his pecuniary interest therein.