SEC Form 4 · accession 0000899243-17-005266
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
Feb 24, 2017
Accepted (ET)
Feb 24, 2017 · 6:38 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 valueF1 | holding | — | — | — | 715,308 | D | ||
| Common Stock, $0.0001 par valueF2 | holding | — | — | — | 51,403 | I | By GRAT 1 | |
| Common Stock, $0.0001 par valueF3 | holding | — | — | — | 14,447 | I | By GRAT 2 | |
| Common Stock, $0.0001 par valueF4 | holding | — | — | — | 51,403 | I | By Wife's GRAT 1 | |
| Common Stock, $0.0001 par valueF5 | holding | — | — | — | 14,447 | I | By Wife's GRAT 2 |
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)F6 | $19.63 | Feb 24, 2017 | A | 240,000 | A | — | Feb 24, 2027 | Common Stock | 240,000 | 240,000 | 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 Stephen G. Dilly, as Trustee of The Stephen G. Dilly 2015 Grantor Retained Annuity Trust dated June 23, 2015 (the "First Dilly Trust"). Dr. Dilly has sole voting, investment and dispositive power over the shares held by the First Dilly Trust.
- F3These shares are held by Stephen G. Dilly, Trustee, The Stephen G. Dilly 2016 Grantor Retained Annuity Trust DTD August 12, 2016 (the "Second Dilly Trust"). Dr. Dilly has sole voting, investment and dispositive power over the shares held by the Second Dilly Trust.
- F4These shares are held by Edwina Lynette Mullens, as Trustee of The Edwina Lynette Mullens 2015 Grantor Retained Annuity Trust dated June 23, 2015 (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.
- F5These shares are held by Edwina Lynette Mullens, Trustee, The Edwina Lynette Mullens 2016 Grantor Retained Annuity Trust DTD August 12, 2016 (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.
- F6The shares subject to the option will vest and become exercisable as to one-forty-eighth (1/48th) of the total number of shares subject to the option in successive, equal monthly installments measured from February 24, 2017, subject to the Reporting Person's continued service relationship with the Issuer on each such vesting date.
Remarks
President and Chief Executive Officer