SEC Form 4 · accession 0000899243-17-022644
Aimmune Therapeutics, Inc. · AIMT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen George Dilly
Officer — President and CEO · Director
Period of report
Sep 25, 2017
Accepted (ET)
Sep 27, 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 valueF2 | Aug 23, 2017 | G | 41,075 | $0.00 | D | 10,328 | I | By GRAT 1 |
| Common Stock, $0.0001 par valueF3 | Aug 23, 2017 | G | 41,075 | $0.00 | A | 41,075 | I | By Child's Trust 1 |
| Common Stock, $0.0001 par valueF2 | Aug 23, 2017 | G | 10,328 | $0.00 | D | 0 | I | By GRAT 1 |
| Common Stock, $0.0001 par valueF4 | Aug 23, 2017 | G | 10,328 | $0.00 | A | 10,328 | I | By Family Trust |
| Common Stock, $0.0001 par valueF6 | Aug 23, 2017 | G | 41,075 | $0.00 | D | 10,328 | I | By Wife's GRAT 1 |
| Common Stock, $0.0001 par valueF7 | Aug 23, 2017 | G | 41,075 | $0.00 | A | 41,075 | I | By Child's Trust 2 |
| Common Stock, $0.0001 par valueF6 | Aug 23, 2017 | G | 10,328 | $0.00 | D | 0 | I | By Wife's GRAT 1 |
| Common Stock, $0.0001 par valueF4 | Aug 23, 2017 | G | 10,328 | $0.00 | A | 20,656 | I | By Family Trust |
| Common Stock, $0.0001 par valueF9,F10 | Sep 25, 2017 | S | 100,000 | $25.0079 | D | 515,308 | D | |
| Common Stock, $0.0001 par valueF11 | holding | — | — | — | 14,447 | I | By GRAT 2 | |
| Common Stock, $0.0001 par valueF12 | holding | — | — | — | 14,447 | I | By Wife's GRAT 2 |
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 Stephen G. Dilly and Edwina Lynette Mullens as Trustees of The Frederick S W Dilly 2015 Irrevocable Trust dated June 23, 2015 (the "Frederick S W Dilly Trust") on August 23, 2017.
- F10A portion of these shares is subject to a right of repurchase held by the Issuer.
- F11These 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.
- F12These 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.
- F2These 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.
- F3These shares are held by the Frederick S W Dilly Trust. Dr. Dilly and Ms. Mullens have joint voting, investment and dispositive power over the shares held by the Frederick S W Dilly Trust.
- F4These shares are held by Stephen G. Dilly and Edwina Lynette Mullens as Trustees of The Dilly Family Trust dated October 9, 2002 (the "Family Trust"). Dr. Dilly and Ms. Mullens have joint voting, investment and dispositive power over the shares held by the Family 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 Edwina Lynette Mullens and Stephen G. Dilly as Trustees of The Harriet F.L. Dilly 2015 Revocable Trust dated June 23, 2015 (the "Harriet F.L. Dilly Trust") on August 23, 2017. 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.
- F7These shares are held by the Harriet F.L. Dilly Trust. Dr. Dilly and Ms. Mullens have joint voting, investment and dispositive power over the shares held by the Frederick S W Dilly Trust.
- F8This sale was effected pursuant to a Rule 10b5 1 trading plan adopted by the Reporting Person.
- F9The transaction was executed in multiple trades in prices ranging from $24.90 to $25.33, 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.