SEC Form 4 · accession 0000899243-17-024683
Aimmune Therapeutics, Inc. · AIMT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel C Adelman M.D.
Officer — Chief Medical Officer
Period of report
Oct 23, 2017
Accepted (ET)
Oct 25, 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 | Oct 23, 2017 | M | 10,000 | $11.45 | A | 10,000 | D | |
| Common Stock, $0.0001 par valueF2 | Oct 23, 2017 | S | 5,530 | $33.2462 | D | 4,470 | D | |
| Common Stock, $0.0001 par valueF3 | Oct 23, 2017 | S | 1,470 | $34.2748 | D | 3,000 | D | |
| Common Stock, $0.0001 par valueF4 | Oct 23, 2017 | S | 3,000 | $35.4583 | D | 0 | 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)F5 | $11.45 | Oct 23, 2017 | M | 10,000 | D | — | Jun 24, 2026 | Common Stock | 10,000 | 230,000 | D |
Explanation of responses
- F1This sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by Reporting Person.
- F2The transaction was executed in multiple trades in prices ranging from $32.83 to $33.81, 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 transaction was executed in multiple trades in prices ranging from $33.84 to $34.75, 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.
- F4The transaction was executed in multiple trades in prices ranging from $34.87 to $35.55, 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.
- F5The shares subject to the option will vest and become exercisable as to 25% of the total number of shares subject to the option on June 16, 2017 and with respect to 1/48th of the total number of shares subject to the option in successive, equal monthly installments on each monthly anniversary thereafter, subject to the Reporting Person's continued service relationship with the Issuer on each such vesting date.