SEC Form 4 · accession 0001267602-16-000161
ALIMERA SCIENCES INC · ALIM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard S Eiswirth Jr.
Officer — President and CFO
Period of report
Sep 15, 2016
Accepted (ET)
Sep 16, 2016 · 4:25 pm EDT
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 | Sep 15, 2016 | M | 51,471 | $1.33 | A | 86,445 | D | |
| Common StockF2 | Sep 15, 2016 | S | 51,471 | $1.5101 | 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)F3 | $1.33 | Sep 15, 2016 | M | 51,471 | D | — | Oct 12, 2016 | Common Stock | 51,471 | 0 | D |
Explanation of responses
- F1This sale occurred in accordance with the Reporting Person's 10b5-1 plan adopted 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 $1.49 to $1.53, 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.
- F3Became exercisable with respect to 1/4 of the shares of stock which are subject to this option on 11/22/07 (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.