SEC Form 4 · accession 0000899243-18-015796
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
Jun 6, 2018
Accepted (ET)
Jun 8, 2018 · 5:50 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 | Jun 6, 2018 | M | 30,465 | $3.0221 | A | 345,773 | D | |
| Common Stock, $0.0001 par valueF2 | Jun 6, 2018 | S | 30,465 | $31.1955 | D | 315,308 | D | |
| Common Stock, $0.0001 par value | Jun 7, 2018 | M | 32,598 | $3.0221 | A | 347,906 | D | |
| Common Stock, $0.0001 par valueF3 | Jun 7, 2018 | S | 32,098 | $30.9465 | D | 315,808 | D | |
| Common Stock, $0.0001 par value | Jun 7, 2018 | S | 500 | $31.58 | D | 315,308 | D | |
| Common Stock, $0.0001 par value | Jun 8, 2018 | M | 42,106 | $3.0221 | A | 357,414 | D | |
| Common Stock, $0.0001 par valueF4 | Jun 8, 2018 | S | 42,106 | $30.6966 | D | 315,308 | D | |
| Common Stock, $0.0001 par valueF5 | holding | — | — | — | 12,009 | I | By GRAT 2 | |
| Common Stock, $0.0001 par valueF6 | holding | — | — | — | 12,009 | I | By Wife's GRAT 2 | |
| Common Stock, $0.0001 par valueF7 | holding | — | — | — | 25,532 | I | By Family Trust | |
| Common Stock, $0.0001 par valueF8 | holding | — | — | — | 41,075 | I | By Child's Trust 1 | |
| Common Stock, $0.0001 par valueF9 | holding | — | — | — | 41,075 | I | By Child's Trust 2 |
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)F10 | $3.0221 | Jun 6, 2018 | M | 30,465 | D | — | May 18, 2025 | Common Stock | 30,465 | 400,103 | D |
| Stock Option (right to buy)F10 | $3.0221 | Jun 7, 2018 | M | 32,598 | D | — | May 18, 2025 | Common Stock | 32,598 | 367,505 | D |
| Stock Option (right to buy)F10 | $3.0221 | Jun 8, 2018 | M | 42,106 | D | — | May 18, 2025 | Common Stock | 42,106 | 325,399 | 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.
- F10The option is immediately exercisable in full or in part. The shares vest pursuant to the following schedule: One forty-eighth (1/48th) of the shares subject to the option vest in 48 successive, equal monthly installments measured from May 13, 2015, 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 $30.68 to $31.55, 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.
- F3The transaction was executed in multiple trades in prices ranging from $30.45 to $31.43, 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 $30.22 to $31.03, 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.
- F5These 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.
- F6These 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.
- F7These 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.
- F8These shares are held by 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"). Dr. Dilly and Ms. Mullens have joint voting, investment and dispositive power over the shares held by the Frederick S W Dilly Trust.
- F9These shares are held by 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"). Dr. Dilly and Ms. Mullens have joint voting, investment and dispositive power over the shares held by the Harriet F.L. Dilly Trust.