SEC Form 4 · accession 0000899243-17-009486
Aimmune Therapeutics, Inc. · AIMT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Warren L. DeSouza
Officer — Chief Financial Officer
Period of report
Apr 3, 2017
Accepted (ET)
Apr 5, 2017 · 4:05 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 value | Apr 3, 2017 | M | 15,000 | $3.022 | A | 35,681 | D | |
| Common Stock, $0.0001 par valueF2 | Apr 3, 2017 | S | 15,000 | $21.5824 | D | 20,681 | D |
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 | $3.022 | Apr 3, 2017 | M | 15,000 | D | — | May 13, 2025 | Common Stock | 15,000 | 303,794 | D |
Explanation of responses
- F1The sale reported in the Form 4 was effected pursuant to a Rule 10b5 1 trading plan adopted by the Reporting Person.
- F2The transaction was executed in multiple trades in prices ranging from $21.30 to $21.79, 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.
- F3The option is immediately exercisable in full or in part. The shares vest pursuant to the following schedule: Twenty Five Percent (25%) of the shares subject to the option vest on the first anniversary measured from April 16, 2015 (the "Vesting Commencement Date") and the remaining shares subject to the option vest in 36 successive, equal monthly installments thereafter on each monthly anniversary of the Vesting Commencement Date, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.