SEC Form 3 · accession 0000899243-15-002476
Aimmune Therapeutics, Inc. · AIMT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Howard V. Raff
Officer — Chief Operating Officer
Period of report
Aug 5, 2015
Accepted (ET)
Aug 5, 2015 · 6:41 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001631650
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.0001 par valueF1,F2 | holding | — | — | — | 428,575 | I | By: Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F3 | $3.0221 | holding | — | — | — | — | May 13, 2025 | Common Stock | 98,775 | — | D |
Explanation of responses
- F1A portion of these shares is subject to a right of repurchase held by the Issuer.
- F2These shares are held by Howard V. Raff, Trustee, and any successor trustee, of the Howard V. Raff Revocable Trust dated March 28, 2014 (the "Raff Trust"). Dr. Raff has sole voting, investment and dispositive power over the shares held by the Raff Trust.
- F3The option is immediately exercisable in full or in part. The shares vest pursuant to the following schedule: One forty-eighth (1/48th) of the shares subject to the option vest in 48 successive, equal monthly installments measured from May 13, 2015, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.