SEC Form 4 · accession 0001012975-18-000911
Altimmune, Inc. · ALT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jul 11, 2018
Accepted (ET)
Jul 13, 2018 · 4:02 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 | Jul 11, 2018 | J | 663,346 | — | A | 6,275,152 | 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 StockF2 | $2.67 | Jul 11, 2018 | J | 345 | D | Aug 21, 2017 | Aug 15, 2018 | Common Stock, par value $0.0001 | 129,188 | 0 | I |
Explanation of responses
- F1Pursuant to the terms of the Exchange Agreement between the Issuer and the Reporting Persons dated July 11, 2018, the remaining shares of the Issuer's Series B Convertible Preferred Stock (the "Preferred Stock") were exchanged for shares of the Issuer's common stock, par value $0.0001 per share.
- F2The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG.