SEC Form 4 · accession 0000899243-18-006819
Aldeyra Therapeutics, Inc. · ALDX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Todd C Brady
Officer — President and CEO · Director
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 | Mar 6, 2018 | A | 101,269 | $0.00 | A | 302,483 | 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 | 217,293 | A | — | Mar 5, 2028 | Common Stock | 217,293 | 217,293 | D |
Explanation of responses
- F1Represents shares of common stock underlying a time-based restricted stock unit award (RSU). The RSU vests ratably in equal annual installments over a four-year period beginning on January 1, 2018, provided that the Reporting Person has provided continuous service to the Issuer through the applicable vesting date.
- F2Includes 4,550 shares of common stock acquired under the Issuer's Employee Stock Purchase Plan (ESPP) in June 2017 and 575 shares of common stock acquired under the Issuer's ESPP in December 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.