SEC Form 4 · accession 0001008161-15-000008
AIM ImmunoTech Inc. · AIM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William A Carter
Officer — CEO · Director
Period of report
Dec 9, 2015
Accepted (ET)
Dec 14, 2015 · 11:11 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000946644
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Options | $2.71 | Dec 9, 2015 | J | 73,728 | D | Dec 22, 2010 | Dec 22, 2020 | Common Stock | 73,728 | 0 | D |
| Options | $4.03 | Dec 9, 2015 | J | 10,000 | D | Apr 13, 2012 | Apr 13, 2022 | Common Stock | 10,000 | 0 | D |
| Options | $2.60 | Dec 9, 2015 | J | 320,000 | D | Dec 8, 2015 | Dec 8, 2024 | Common Stock | 320,000 | 0 | D |
| Options | $0.29 | Dec 9, 2015 | J | 100,000 | D | Jul 5, 2012 | Jun 6, 2022 | Common Stock | 100,000 | 0 | D |
| Options | $0.25 | Dec 9, 2015 | J | 150,000 | D | Aug 2, 2013 | Aug 2, 2023 | Common Stock | 150,000 | 0 | D |
| Warrants | $0.51 | Dec 9, 2015 | J | 491,196 | D | Feb 1, 2009 | Feb 1, 2019 | Common Stock | 491,196 | 0 | D |
Explanation of responses
- F1As Section 5.1 in the 2009 Equity Incentive Plan states that there is an aggregate limitation of 3 million shares per person, these options and warrants were forfeited to comply with this limitation.