SEC Form 4 · accession 0001012975-17-000759
Altimmune, Inc. · ALT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Oct 13, 2017
Accepted (ET)
Oct 17, 2017 · 8:04 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 $0.0001F2 | Oct 17, 2017 | J | 1,278,471 | $0.00 | D | 0 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (option to buy)F3 | $2.50 | Oct 13, 2017 | A | 20,000 | A | Apr 30, 2018 | Oct 13, 2027 | Common Stock, par value $0.0001 | 20,000 | 20,000 | D |
Explanation of responses
- F1Redmont VAXN Capital Holdings, LLC, a Delaware limited liability company ("Redmont VAXN") distributed to its members, pro rata and without consideration, 1,278,471 shares of the Issuer's common stock.
- F2Consists of shares of Common Stock held by Redmont VAXN. Philip Hodges has sole voting and dispositive control with respect to all securities held by Redmont VAXN. Philip Hodges disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.
- F3Held by Philip Hodges.