SEC Form 4 · accession 0000899243-18-016350

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 11, 2018

Accepted (ET)

Jun 13, 2018 · 4:06 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 11, 2018	M	29,457	$3.0221	A	344,765	D
Common Stock, $0.0001 par value^F2	Jun 11, 2018	S	29,457	$30.8348	D	315,308	D
Common Stock, $0.0001 par value^F3	holding	—	—		—	12,009	I	By GRAT 2
Common Stock, $0.0001 par value^F4	holding	—	—		—	12,009	I	By Wife's GRAT 2
Common Stock, $0.0001 par value^F5	holding	—	—		—	25,532	I	By Family Trust
Common Stock, $0.0001 par value^F6	holding	—	—		—	41,075	I	By Child's Trust 1
Common Stock, $0.0001 par value^F7	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)^F8	$3.0221	Jun 11, 2018	M	29,457	D	—	May 18, 2025	Common Stock	29,457	295,942	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 $30.51 to $31.18, 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.
F3These 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.
F4These 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.
F5These 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.
F6These 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.
F7These 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.
F8The 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.