SEC Form 4 · accession 0000899243-17-012362
Altimmune, Inc. · ALT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Philip Hodges
Director
Redmont VAXN Capital Holdings, LLC
10% Owner
Redmont Venture Partners, Inc.
10% Owner
Paradigm Venture Partners, L.P.
10% Owner
Period of report
May 4, 2017
Accepted (ET)
May 8, 2017 · 8:37 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001326190
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, par value $0.0001F1,F2 | May 4, 2017 | A | 1,278,471 | — | A | 1,278,471 | I | See Footnote |
| Common Stock, par value $0.0001F1,F3 | May 4, 2017 | A | 36,785 | — | A | 36,785 | I | See Footnote |
| Common Stock, par value $0.0001F1,F4 | May 4, 2017 | A | 4,455 | — | A | 4,455 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Acquired pursuant to the Agreement and Plan of Merger, dated as of January 18, 2017 (as amended on March 29, 2017, the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Altimmune, Inc. ("Altimmune"). Pursuant to the Merger Agreement, the then outstanding shares of Altimmune's capital stock was converted into the right to receive a number of shares of the Issuer's common stock, par value $0.0001 on a 0.749106:1 basis upon the closing of the merger.
- F2Consists of shares of Common Stock held by Redmont VAXN Capital Holdings, LLC, a Delaware limited liability company ("RVCH"). Philip Hodges has sole voting and dispositive control with respect to all securities held by RVCH. Mr. Hodges disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.
- F3Consists of shares of Common Stock held by Redmont Venture Partners, Inc., a Delaware corporation ("RVP"). Mr. Hodges has sole voting and dispositive control with respect to all securities held by RVP. Mr. Hodges disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.
- F4Consists of shares of Common Stock held by Paradigm Venture Partners, L.P., a Delaware limited partnership ("PVP"). Mr. Hodges has sole voting and dispositive control with respect to all securities held by PVP. Mr. Hodges disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.