SEC Form 4 · accession 0000899243-17-012977
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
May 10, 2017
Accepted (ET)
May 12, 2017 · 4:07 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 valueF2 | May 10, 2017 | S | 600 | $20.15 | D | 714,708 | D | |
| Common Stock, $0.0001 par valueF3 | holding | — | — | — | 51,403 | I | By GRAT 1 | |
| Common Stock, $0.0001 par valueF4 | holding | — | — | — | 14,447 | I | By GRAT 2 | |
| Common Stock, $0.0001 par valueF5 | holding | — | — | — | 51,403 | I | By Wife's GRAT 1 | |
| Common Stock, $0.0001 par valueF6 | holding | — | — | — | 14,447 | I | By Wife's GRAT 2 |
Table II — derivative securities
No Table II lines on this filing.
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.
- F2A portion of these shares is subject to a right of repurchase held by the Issuer.
- F3These 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.
- F4These 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.
- F5These 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.
- F6These 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.
Remarks
President and Chief Executive Officer