SEC Form 4 · accession 0001144204-16-124773
Altimmune, Inc. · ALT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Philip Macneill
Officer — VP, CFO, Treasurer, Secretary
Period of report
Sep 20, 2016
Accepted (ET)
Sep 21, 2016 · 5:09 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 $0.0001 per share | Sep 20, 2016 | M | 4,500 | $1.21 | A | 54,500 | D | |
| Common Stock, par value $0.0001 per share | Sep 20, 2016 | M | 1,845 | $1.21 | A | 56,345 | D | |
| Common Stock, par value $0.0001 per share | Sep 20, 2016 | M | 5,625 | $1.13 | A | 61,970 | D | |
| Common Stock, par value $0.0001 per share | Sep 20, 2016 | M | 14,063 | $1.94 | A | 76,033 | D | |
| Common Stock, par value $0.0001 per share | Sep 20, 2016 | M | 10,000 | $1.71 | A | 86,033 | D | |
| Common Stock, par value $0.0001 per share | Sep 20, 2016 | M | 17,656 | $1.66 | A | 103,689 | D |
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)F1 | $1.21 | Sep 20, 2016 | M | 4,500 | D | — | Dec 1, 2021 | Common Stock | 4,500 | 0 | D |
| Employee Stock Option (right to buy) | $1.21 | Sep 20, 2016 | M | 1,845 | D | Dec 1, 2012 | Dec 1, 2021 | Common Stock | 1,845 | 0 | D |
| Employee Stock Option (right to buy)F2 | $1.13 | Sep 20, 2016 | M | 5,625 | D | — | Dec 3, 2022 | Common Stock | 5,625 | 0 | D |
| Employee Stock Option (right to buy)F3 | $1.94 | Sep 20, 2016 | M | 14,063 | D | — | Jan 29, 2024 | Common Stock | 14,063 | 4,687 | D |
| Employee Stock Option (right to buy)F4 | $1.71 | Sep 20, 2016 | M | 10,000 | D | — | Dec 8, 2024 | Common Stock | 10,000 | 10,000 | D |
| Employee Stock Option (right to buy)F5 | $1.66 | Sep 20, 2016 | M | 17,656 | D | — | Dec 3, 2025 | Common Stock | 17,656 | 52,969 | D |
Explanation of responses
- F1These options became exercisable in 4 equal annual installments, with the first installment exercisable on December 1, 2011.
- F2These options became exercisable in 4 equal annual installments, with the first installment exercisable on December 3, 2012.
- F3These options became exercisable in 4 equal annual installments, with the first installment exercisable on January 29, 2014.
- F4These options became exercisable in 4 equal annual installments, with the first installment exercisable on December 8, 2014.
- F5These options were granted on December 3, 2015, and vest over a 3 year period with 25% vesting on the grant date and an additional 25% vesting on each of the first, second and third anniversaries of the grant date.