SEC Form 4 · accession 0000899243-17-012363
Altimmune, Inc. · ALT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Klaus Schafer
Director
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 | May 4, 2017 | A | 5,998 | — | A | 5,998 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (option to buy)F2 | $0.08 | May 4, 2017 | A | 4,775 | A | May 4, 2017 | Jul 4, 2022 | Common Stock, par value $0.0001 | 4,775 | 4,775 | D |
| Stock Option (option to buy)F2 | $0.08 | May 4, 2017 | A | 1,791 | A | May 4, 2017 | Jul 4, 2022 | Common Stock, par value $0.0001 | 1,791 | 1,791 | D |
| Stock Option (option to buy)F2 | $0.08 | May 4, 2017 | A | 1,791 | A | May 4, 2017 | Dec 31, 2022 | Common Stock, par value $0.0001 | 1,791 | 1,791 | D |
| Stock Option (option to buy)F2 | $0.59 | May 4, 2017 | A | 1,791 | A | May 4, 2017 | Dec 31, 2023 | Common Stock, par value $0.0001 | 1,791 | 1,791 | D |
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.
- F2Pursuant to the terms of the Merger Agreement, the Issuer assumed all outstanding options to purchase shares of Altimmune capital stock on a 0.749106:1 basis upon closing of the merger.