SEC Form 4 · accession 0000899243-18-029542
Aimmune Therapeutics, Inc. · AIMT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Susan E. Barrowcliffe
Officer — General Manager, Europe
Period of report
Nov 19, 2018
Accepted (ET)
Nov 21, 2018 · 4:05 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 | Nov 19, 2018 | M | 40,000 | $3.022 | A | 49,375 | D | |
| Common Stock, $0.0001 par valueF1 | Nov 19, 2018 | S | 40,000 | $30.04 | D | 9,375 | 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)F2 | $3.022 | Nov 19, 2018 | M | 40,000 | D | — | May 13, 2025 | Common Stock | 40,000 | 53,400 | D |
Explanation of responses
- F1Includes restricted stock units ("RSUs") which 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.
- F2The option is immediately exercisable in full or in part. The underlying 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 May 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.