SEC Form 4 · accession 0001012975-17-000652

Altimmune, Inc. · ALT

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Truffle Capital S.A.S.

10% Owner

Period of report

Aug 21, 2017

Accepted (ET)

Aug 23, 2017 · 4:23 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001326190

Table I — non-derivative securities

No Table I lines on this filing.

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Series B Convertible Preferred Stock^F2,F3,F1	$2.67	Aug 21, 2017	P	205	A	Aug 21, 2017	Aug 15, 2018	Common Stock, par value $0.0001	76,740	205	I
Series B Convertible Preferred Stock^F2,F4,F1	$2.67	Aug 21, 2017	P	273	A	Aug 21, 2017	Aug 15, 2018	Common Stock, par value $0.0001	102,318	273	I
Series B Convertible Preferred Stock^F2,F5,F1	$2.67	Aug 21, 2017	P	205	A	Aug 21, 2017	Aug 15, 2018	Common Stock, par value $0.0001	76,740	205	I
Warrant^F6,F2,F3	$2.67	Aug 21, 2017	P	30,696	A	Aug 21, 2017	Aug 15, 2022	Common Stock, par value $0.0001	30,696	30,696	I
Warrant^F6,F2,F4	$2.67	Aug 21, 2017	P	40,927	A	Aug 21, 2017	Aug 15, 2022	Common Stock, par value $0.0001	40,927	40,927	I
Warrant^F6,F2,F5	$2.67	Aug 21, 2017	P	30,696	A	Aug 21, 2017	Aug 15, 2022	Common Stock, par value $0.0001	30,696	30,696	I

Explanation of responses

F1The Issuer's Series B Convertible Preferred Stock (the "Preferred Stock") is convertible at any time at the option of the holder into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"), subject to certain restrictions, at an initial conversion price of $2.67 per share and a stated amount of $1,000 per share. Prior to the receipt of approval by the Issuer's stockholders for the issuance of shares pursuant to the conversion of the Preferred Stock (the "Requisite Stockholder Approval"), the Preferred Stock may not be converted by the holder if, as a result of such conversion, the holder, together with its affiliates, would hold more than 19.99% of the Issuer's Common Stock.
F2Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.
F3Held directly by UFF Innovation 14 FCPI, a FCPI (Fonds Commun de Placement dans l'Innovation), which is a tax efficient French collective investment fund.
F4Held directly by UFF Innovation 15 FCPI, a FCPI.
F5Held directly by Truffle Fortune 4 FCPI, a FCPI.
F6Warrants to purchase shares of the Issuer's Common Stock were acquired in connection with the acquisition of the Preferred Stock and reported on this Form 4. The Warrants may not be exercised if such exercise would cause the holder, together with its affiliates, to hold more than 19.99% of the Issuer's Common Stock, prior to the receipt by the Issuer of the Requisite Stockholder Approval.