SEC Form 4 · accession 0001267602-15-000084
ALIMERA SCIENCES INC · ALIM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard S Eiswirth Jr.
Officer — COO and CFO
Period of report
Dec 15, 2015
Accepted (ET)
Dec 17, 2015 · 4:19 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001267602
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Dec 15, 2015 | M | 31,260 | $1.33 | A | 66,234 | D | |
| Common StockF2 | Dec 15, 2015 | S | 31,260 | $2.3199 | D | 34,974 | D | |
| Common Stock | Dec 16, 2015 | M | 15,409 | $1.33 | A | 50,383 | D | |
| Common StockF3 | Dec 16, 2015 | S | 15,409 | $2.2973 | D | 34,974 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F4 | $1.33 | Dec 15, 2015 | M | 31,260 | D | — | Jan 1, 2016 | Common Stock | 31,260 | 15,409 | D |
| Employee Stock Option (Right to Buy)F4 | $1.33 | Dec 16, 2015 | M | 15,409 | D | — | Jan 1, 2016 | Common Stock | 15,409 | 0 | D |
Explanation of responses
- F1The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 12, 2015.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.24 to $2.46, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.17 to $2.38, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.
- F4Became exercisable with respect to 1/4 of the shares of stock which are subject to this option on 10/31/06 (the "Initial Vesting Date") and with respect to the remainder of the shares in equal increments quarterly over three years beginning on the date three (3) months from the Initial Vesting Date.