SEC Form 4 · accession 0000899243-19-006730
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 5, 2019
Accepted (ET)
Mar 7, 2019 · 5:22 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 5, 2019 | A | 3,503 | $0.00 | A | 11,512 | 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 | $8.05 | Mar 5, 2019 | A | 250,000 | A | — | Mar 4, 2029 | Common Stock | 250,000 | 250,000 | 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, 2019, provided that the Reporting Person has provided continuous service to the Issuer through the applicable vesting date.
- F2Includes 3,235 shares of common stock acquired under the Issuer's Employee Stock Purchase Plan (ESPP) in 2018.
- 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, 2019.