SEC Form 4 · accession 0001012975-17-000854

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

Nov 14, 2017

Accepted (ET)

Nov 16, 2017 · 6:58 pm EST

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 $0.0001^F1,F2,F3	Nov 14, 2017	J	12,030	—	A	125,145	I	See Footnote
Common Stock, par value $0.0001^F1,F2,F4	Nov 14, 2017	J	16,039	—	A	66,806	I	See Footnote
Common Stock, par value $0.0001^F1,F2,F5	Nov 14, 2017	J	12,030	—	A	22,418	I	See Footnote
Common Stock, par value $0.0001^F2,F6	holding	—	—		—	416,043	I	See Footnote
Common Stock, par value $0.0001^F2,F7	holding	—	—		—	230,103	I	See Footnote
Common Stock, par value $0.0001^F2,F8	holding	—	—		—	183,690	I	See Footnote
Common Stock, par value $0.0001^F2,F9	holding	—	—		—	179,359	I	See Footnote
Common Stock, par value $0.0001^F2,F10	holding	—	—		—	151,441	I	See Footnote
Common Stock, par value $0.0001^F2,F11	holding	—	—		—	116,654	I	See Footnote
Common Stock, par value $0.0001^F2,F12	holding	—	—		—	105,804	I	See Footnote
Common Stock, par value $0.0001^F2,F13	holding	—	—		—	1,774	I	See Footnote
Common Stock, par value $0.0001^F2,F14	holding	—	—		—	1,255	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
Series B Convertible Preferred Stock^F1,F2,F3,F15	$2.67	Nov 14, 2017	J	23	D	Aug 21, 2017	Aug 15, 2018	Common Stock, par value $0.0001	8,527	182	I
Series B Convertible Preferred Stock^F1,F2,F4,F15	$2.67	Nov 14, 2017	J	30	D	Aug 21, 2017	Aug 15, 2018	Common Stock, par value $0.0001	11,369	243	I
Series B Convertible Preferred Stock^F1,F2,F5,F15	$2.67	Nov 14, 2017	J	23	D	Aug 21, 2017	Aug 15, 2018	Common Stock, par value $0.0001	8,527	182	I

Explanation of responses

F1Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.89 per share of Common Stock.
F10Held directly by UFF Innovation 16 FCPI, a FCPI.
F11Held directly by Truffle Fortune 5 FCPI, a FCPI.
F12Held directly by Truffle InnoCroissance 2015 FCPI, a FCPI.
F13Held directly by Europe Innovation 2006 (E106) FCPI, a FCPI.
F14Held directly by Europe Innovation 2004 (E104) FCPI, a FCPI.
F15The Issuer's Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's 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.
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.
F6Held directly by UFF Innovation 5 (UFF5) FCPI, a FCPI.
F7Held directly by UFF Innovation 17 FCPI, a FCPI.
F8Held directly by Truffle Cap II (TCII) FCPR, a FCPR (Fonds Commun de Placement a Risque), which is a French venture capital fund for institutional subscribers.
F9Held directly by Truffle Fortune 6 FCPI, a FCPI.