SEC Form 4 · accession 0000899243-17-029679
Aimmune Therapeutics, Inc. · AIMT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mary M. Rozenman
Officer — See Remarks
Period of report
Dec 26, 2017
Accepted (ET)
Dec 28, 2017 · 5:45 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 value | Dec 26, 2017 | M | 75,010 | $3.022 | A | 75,139 | D | |
| Common Stock, $0.0001 par valueF2 | Dec 26, 2017 | S | 11,000 | $38.8263 | D | 64,139 | D | |
| Common Stock, $0.0001 par valueF3 | Dec 26, 2017 | S | 1,500 | $39.252 | D | 62,639 | D | |
| Common Stock, $0.0001 par valueF2 | Dec 26, 2017 | S | 10,700 | $38.8151 | D | 51,939 | D | |
| Common Stock, $0.0001 par valueF4 | Dec 26, 2017 | S | 1,800 | $39.225 | D | 50,139 | D | |
| Common Stock, $0.0001 par valueF5 | Dec 26, 2017 | S | 11,000 | $38.8286 | D | 39,139 | D | |
| Common Stock, $0.0001 par valueF6 | Dec 26, 2017 | S | 1,500 | $39.25 | D | 37,639 | D | |
| Common Stock, $0.0001 par valueF7 | Dec 26, 2017 | S | 11,000 | $38.8221 | D | 26,639 | D | |
| Common Stock, $0.0001 par valueF8 | Dec 26, 2017 | S | 1,500 | $39.2313 | D | 25,139 | D | |
| Common Stock, $0.0001 par valueF9 | Dec 26, 2017 | S | 4,310 | $38.8026 | D | 20,829 | D | |
| Common Stock, $0.0001 par valueF10 | Dec 26, 2017 | S | 700 | $39.2557 | D | 20,129 | D | |
| Common Stock, $0.0001 par valueF11 | Dec 26, 2017 | S | 8,800 | $38.8253 | D | 11,329 | D | |
| Common Stock, $0.0001 par valueF12 | Dec 26, 2017 | S | 1,200 | $39.2783 | D | 10,129 | D | |
| Common Stock, $0.0001 par valueF13 | Dec 26, 2017 | S | 6,400 | $38.7263 | D | 3,729 | D | |
| Common Stock, $0.0001 par valueF14 | Dec 26, 2017 | S | 3,600 | $39.1526 | D | 129 | 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)F15 | $3.022 | Dec 26, 2017 | M | 75,010 | D | — | Apr 17, 2025 | Common Stock | 75,010 | 120,426 | 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.
- F10The transaction was executed in multiple trades in prices ranging from $39.15 to $39.32, 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.
- F11The transaction was executed in multiple trades in prices ranging from $38.15 to $39.14, 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.
- F12The transaction was executed in multiple trades in prices ranging from $39.16 to $39.54, 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.
- F13The transaction was executed in multiple trades in prices ranging from $38.06 to $39.06, 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.
- F14The transaction was executed in multiple trades in prices ranging from $39.07 to $39.32, 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.
- F15The 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 February 1, 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.
- F2The transaction was executed in multiple trades in prices ranging from $38.13 to $39.13, 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 $39.14 to $39.41, 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 $39.14 to $39.32, 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 transaction was executed in multiple trades in prices ranging from $38.14 to $39.14, 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.
- F6The transaction was executed in multiple trades in prices ranging from $39.15 to $39.35, 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.
- F7The transaction was executed in multiple trades in prices ranging from $38.12 to $39.12, 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.
- F8The transaction was executed in multiple trades in prices ranging from $39.13 to $39.32, 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.
- F9The transaction was executed in multiple trades in prices ranging from $38.14 to $39.12, 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.
Remarks
Senior VP, Corporate Development and Strategy