SEC Form 4 · accession 0001267602-17-000008
ALIMERA SCIENCES INC · ALIM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Philip Ashman
Officer — SVP, EU Managing Director
Period of report
Jan 20, 2017
Accepted (ET)
Jan 23, 2017 · 5:00 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 StockF1 | Jan 20, 2017 | A | 51,000 | $0.00 | A | 51,000 | 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)F2 | $1.18 | Jan 20, 2017 | A | 150,000 | A | — | Jan 19, 2027 | Common Stock | 150,000 | 150,000 | D |
Explanation of responses
- F1Represents shares of common stock underlying a restricted stock unit award (RSU). The RSU shall vest in four equal daily installments beginning on January 16, 2018, provided that the Reporting Person has provided continuous service to the Issuer through the applicable vesting date.
- F2This option shall vest in forty-eight equal monthly installments beginning on January 20, 2017, provided that the Reporting Person remains continuously employed by the Issuer through each vesting period.