SEC Form 4 · accession 0001762007-19-000005
ALIMERA SCIENCES INC · ALIM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Philip Jones
Officer — Chief Financial Officer
Period of report
Jan 23, 2019
Accepted (ET)
Jan 25, 2019 · 5:04 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 23, 2019 | A | 79,400 | $0.00 | A | 108,596 | 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 | $0.86 | Jan 23, 2019 | A | 250,000 | A | — | Jan 22, 2029 | Common Stock | 250,000 | 250,000 | D |
Explanation of responses
- F1Represents shares of common stock underlying a restricted stock unit award (RSU). The RSU represents the Issuer's unfunded and unsecured promise to issue shares of Common Stock on future vesting dates. The RSU shall vest in two equal installments on February 28, 2020 and March 2, 2020, provided that the Reporting Person has provided continuous service to the Issuer through the applicable vesting date.
- F2Becomes exercisable in equal monthly installments over 48 months beginning one month after the vesting commencement date of January 23, 2019, provided the Reporting Person has provided continuous service to the Issuer through the applicable vesting date.