SEC Form 4 · accession 0000899243-16-033506
Aimmune Therapeutics, Inc. · AIMT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen George Dilly
Officer — See Remarks · Director
Period of report
Nov 10, 2016
Accepted (ET)
Nov 15, 2016 · 4:05 pm EST
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 valueF2,F3 | Jul 25, 2016 | G | 14,447 | $0.00 | A | 779,755 | D | |
| Common Stock, $0.0001 par valueF4 | Jul 25, 2016 | G | 14,447 | $0.00 | D | 51,403 | I | By GRAT 1 |
| Common Stock, $0.0001 par value | Jul 25, 2016 | G | 14,447 | $0.00 | A | 14,447 | I | By Wife |
| Common Stock, $0.0001 par valueF6 | Jul 25, 2016 | G | 14,447 | $0.00 | D | 51,403 | I | By Wife's GRAT 1 |
| Common Stock, $0.0001 par valueF2 | Aug 24, 2016 | G | 14,447 | $0.00 | D | 765,308 | D | |
| Common Stock, $0.0001 par valueF8 | Aug 24, 2016 | G | 14,447 | $0.00 | A | 14,447 | I | By GRAT 2 |
| Common Stock, $0.0001 par value | Aug 24, 2016 | G | 14,447 | $0.00 | D | 0 | I | By Wife |
| Common Stock, $0.0001 par valueF10 | Aug 24, 2016 | G | 14,447 | $0.00 | A | 14,447 | I | By Wife's GRAT 2 |
| Common Stock, $0.0001 par valueF2 | Nov 10, 2016 | S | 1,304 | $25.00 | D | 764,004 | D | |
| Common Stock, $0.0001 par valueF12,F2 | Nov 11, 2016 | S | 23,696 | $25.0249 | D | 740,308 | D | |
| Common Stock, $0.0001 par valueF2 | Nov 11, 2016 | S | 25,000 | $25.00 | D | 715,308 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction involved a gift of securities previously held indirectly by Stephen G. Dilly, as Trustee of The Stephen G. Dilly 2015 Grantor Retained Annuity Trust dated June 23, 2015 (the "First Dilly Trust"). Such shares were transferred from the First Dilly Trust to Reporting Person on July 25, 2016.
- F10These shares are held by the Second Mullens Trust. Ms. Mullens has sole voting, investment and dispositive power over the shares held by the Second Mullens Trust. Dr. Dilly disclaims beneficial ownership of the shares held by the Second Mullens Trust.
- F11The sale reported in the Form 4 was effected pursuant to a Rule 10b5 1 trading plan adopted by the Reporting Person.
- F12The transaction was executed in multiple trades in prices ranging from $25.00 to $25.17, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.
- F2A portion of these shares is subject to a right of repurchase held by the Issuer.
- F3Includes 14,447 shares previously held indirectly by the First Dilly Trust. Such shares were transferred from the First Dilly Trust to Reporting Person on July 25, 2016.
- F4These shares are held by the First Dilly Trust. Dr. Dilly has sole voting, investment and dispositive power over the shares held by the First Dilly Trust.
- F5This transaction involved a gift of securities previously held indirectly by Edwina Lynette Mullens, as Trustee of The Edwina Lynette Mullens 2015 Grantor Retained Annuity Trust dated June 23, 2015 (the "First Mullens Trust"). Such shares were transferred from the First Mullens Trust to Reporting Person's wife on July 25, 2016. Dr. Dilly disclaims beneficial ownership of the shares held by Ms. Mullens.
- F6These shares are held by the First Mullens Trust. Ms. Mullens has sole voting, investment and dispositive power over the shares held by the First Mullens Trust. Dr. Dilly disclaims beneficial ownership of the shares held by the First Mullens Trust.
- F7This transaction involved a gift of securities previously held directly by Stephen G. Dilly to Stephen G. Dilly, Trustee, The Stephen G. Dilly 2016 Grantor Retained Annuity Trust DTD August 12, 2016 (the "Second Dilly Trust"). Such shares were transferred from Reporting Person to the Second Dilly Trust on August 24, 2016.
- F8These shares are held by the Second Dilly Trust. Dr. Dilly has sole voting, investment and dispositive power over the shares held by the Second Dilly Trust.
- F9This transaction involved a gift of securities previously held directly by Edwina Lynette Mullens to Edwina Lynette Mullens, Trustee, The Edwina Lynette Mullens 2016 Grantor Retained Annuity Trust DTD August 12, 2016 (the "Second Mullens Trust"). Such shares were transferred from Reporting Person's wife to the Second Mullens Trust on August 24, 2016. Dr. Dilly disclaims beneficial ownership of the shares held by the Second Mullens Trust.
Remarks
President and Chief Executive Officer