SEC Form 4 · accession 0001144204-16-126317
Altimmune, Inc. · ALT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric I Richman
Director
Period of report
Sep 28, 2016
Accepted (ET)
Sep 30, 2016 · 4:33 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 | Sep 28, 2016 | M | 100,000 | $1.51 | A | 276,822 | D | |
| Common Stock, $0.0001 par value per share | Sep 28, 2016 | M | 100,000 | $1.48 | A | 376,822 | D | |
| Common Stock, $0.0001 par value per share | Sep 28, 2016 | M | 37,500 | $1.19 | A | 414,322 | D | |
| Common Stock, $0.0001 par value per shareF1 | 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) | $1.51 | Sep 28, 2016 | M | 100,000 | D | Mar 25, 2011 | Mar 25, 2020 | Common Stock | 100,000 | 0 | D |
| Employee Stock Option (right to buy) | $1.48 | Sep 28, 2016 | M | 100,000 | D | May 2, 2011 | May 18, 2020 | Common Stock | 100,000 | 0 | D |
| Employee Stock Option (right to buy) | $1.19 | Sep 28, 2016 | M | 37,500 | D | Dec 12, 2013 | Dec 12, 2022 | Common Stock | 37,500 | 37,500 | D |
Explanation of responses
- F1Held indirectly as previously reported on Form 4 dated November 10, 2011.