SEC Form 4 · accession 0000899243-18-013932
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
May 22, 2018
Accepted (ET)
May 24, 2018 · 5:09 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 valueF1,F2 | May 22, 2018 | M | 1,648 | $12.95 | A | 34,727 | D | |
| Common Stock, $0.0001 par valueF1,F2 | May 22, 2018 | S | 1,648 | $33.00 | D | 33,079 | D | |
| Common Stock, $0.0001 par valueF1,F2 | May 22, 2018 | M | 1,648 | $12.95 | A | 34,727 | D | |
| Common Stock, $0.0001 par valueF1,F2 | May 22, 2018 | S | 1,648 | $33.00 | D | 33,079 | 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)F4 | $12.95 | May 22, 2018 | M | 1,648 | D | — | Apr 29, 2026 | Common Stock | 1,648 | 65,297 | D |
| Stock Option (right to buy)F4 | $12.95 | May 22, 2018 | M | 1,648 | D | — | Apr 29, 2026 | Common Stock | 1,648 | 63,649 | D |
Explanation of responses
- F1Includes 32,500 shares represented by 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.
- F2Includes 579 shares acquired on May 15, 2018 pursuant to Issuer's employee stock purchase plan.
- F3This sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by Reporting Person.
- F4The 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