SEC Form 4 · accession 0000899243-18-006818
Aldeyra Therapeutics, Inc. · ALDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David J Clark
Officer — Chief Medical Officer
Period of report
Mar 6, 2018
Accepted (ET)
Mar 8, 2018 · 4:40 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001341235
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Dec 29, 2017 | A | 4,774 | $3.995 | A | 4,774 | 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)F3 | $8.60 | Mar 6, 2018 | A | 108,633 | A | — | Mar 5, 2028 | Common Stock | 108,633 | 108,633 | D |
Explanation of responses
- F1Represents the voluntary reporting of 4,774 shares of common stock acquired under the Issuer's Employee Stock Purchase Plan (ESPP) in December 2017.
- F2In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the Issuer's common stock on July 3, 2017.
- F3The shares subject to this option shall vest in equal monthly installments over the next 48 months of continuous service to the Issuer after January 1, 2018.