SEC Form 4 · accession 0000899243-18-006565
Aimmune Therapeutics, Inc. · AIMT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas T. Sheehy
Officer — See Remarks
Period of report
Mar 4, 2018
Accepted (ET)
Mar 6, 2018 · 8:40 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 valueF1 | Mar 4, 2018 | A | 32,500 | $0.00 | A | 32,500 | D | |
| Common Stock, $0.0001 par value | Mar 5, 2018 | M | 1,875 | $19.63 | A | 34,375 | D | |
| Common Stock, $0.0001 par value | Mar 5, 2018 | S | 1,875 | $37.00 | D | 32,500 | D | |
| Common Stock, $0.0001 par value | Mar 5, 2018 | M | 1,648 | $12.95 | A | 34,148 | D | |
| Common Stock, $0.0001 par valueF3 | Mar 5, 2018 | S | 948 | $35.5211 | D | 33,200 | D | |
| Common Stock, $0.0001 par valueF4 | Mar 5, 2018 | S | 700 | $36.5971 | D | 32,500 | 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 | $34.07 | Mar 4, 2018 | A | 75,000 | A | — | Mar 4, 2028 | Common Stock | 75,000 | 75,000 | D |
| Stock Option (right to buy)F6 | $19.63 | Mar 5, 2018 | M | 1,875 | D | — | Feb 24, 2027 | Common Stock | 1,875 | 67,500 | D |
| Stock Option (right to buy)F7 | $12.95 | Mar 5, 2018 | M | 1,648 | D | — | Apr 29, 2026 | Common Stock | 1,648 | 66,945 | D |
Explanation of responses
- F1These shares represent restricted stock units ("RSUs") and will be settled in common stock upon vesting. The RSUs vest in four successive, equal, annual installments measured from March 1, 2018, subject to the Reporting Person's continued service relationship with the Issuer on each such vesting date.
- F2This sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by Reporting Person.
- F3The transaction was executed in multiple trades in prices ranging from $35.15 to $35.89, 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 $36.32 to $37.04, 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 one-forty-eighth (1/48th) of the total number of shares subject to the option in successive, equal monthly installments measured from March 1, 2018, subject to the Reporting Person's continued service relationship with the Issuer on each such vesting date.
- F6The shares subject to the option will vest and become exercisable as to one-forty-eighth (1/48th) of the total number of shares subject to the option in successive, equal monthly installments measured from February 24, 2017, subject to the Reporting Person's continued service relationship with the Issuer on each such vesting date.
- F7The shares subject to the option will vest and become exercisable as to 25% of the total number of shares subject to the option on April 4, 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.
Remarks
General Counsel and Corporate Secretary