SEC Form 4 · accession 0001144204-16-094715
Altimmune, Inc. · ALT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric I Richman
Director
Period of report
Apr 13, 2016
Accepted (ET)
Apr 15, 2016 · 7:53 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, $0.0001 par value per share | Apr 13, 2016 | M | 13,233 | $1.76 | A | 190,055 | D | |
| Common Stock, $0.0001 par value per share | Apr 13, 2016 | S | 13,233 | $2.20 | D | 176,822 | D | |
| Common Stock, $0.0001 par value per share | Apr 13, 2016 | M | 150,000 | $1.16 | A | 326,822 | D | |
| Common Stock, $0.0001 par value per share | Apr 13, 2016 | S | 150,000 | $2.20 | D | 176,822 | D | |
| Common Stock, $0.0001 par value per share | Apr 13, 2016 | M | 91,121 | $1.16 | A | 267,943 | D | |
| Common Stock, $0.0001 par value per share | Apr 13, 2016 | S | 91,121 | $2.20 | D | 176,822 | D | |
| Common Stock, $0.0001 par value per share | Apr 13, 2016 | M | 75,000 | $1.19 | A | 251,822 | D | |
| Common Stock, $0.0001 par value per share | Apr 13, 2016 | S | 75,000 | $2.20 | D | 176,822 | D | |
| Common Stock, $0.0001 par value per shareF2 | holding | — | — | — | 10,000 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $1.76 | Apr 13, 2016 | M | 13,233 | D | Sep 30, 2012 | Sep 30, 2021 | Common Stock | 13,233 | 0 | D |
| Employee Stock Option (right to buy)F3 | $1.16 | Apr 13, 2016 | M | 150,000 | D | — | Dec 7, 2021 | Common Stock | 150,000 | 0 | D |
| Employee Stock Option (right to buy) | $1.16 | Apr 13, 2016 | M | 91,121 | D | Dec 7, 2012 | Dec 7, 2021 | Common Stock | 91,121 | 0 | D |
| Employee Stock Option (right to buy)F4 | $1.19 | Apr 13, 2016 | M | 75,000 | D | — | Dec 12, 2022 | Common Stock | 75,000 | 75,000 | D |
Explanation of responses
- F1The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 16, 2015 and terminated on April 14, 2016.
- F2Held indirectly as previously reported on Form 4 dated November 10, 2011.
- F3This option was granted on December 7, 2011 and vested over four years with 25% vesting on the one year anniversary of the date of grant and the remaining 75% in three equal installments on a yearly basis for a period of three years from the one year anniversary of the date of grant.
- F4This option was granted on December 7, 2011 and vests over four years with 25% vesting on the one year anniversary of the date of grant and the remaining 75% in three equal installments on a yearly basis for a period of three years from the one year anniversary of the date of grant.