FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Truffle Capital S.A.S.

2. Date of Event Requiring Statement (MM/DD/YYYY)
5/4/2017 

3. Issuer Name and Ticker or Trading Symbol

Altimmune, Inc. [ALT]

(Last)        (First)        (Middle)

5, RUE DE LA BAUME

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                            ___ X ___ 10% Owner
_____ Officer (give title below)          _____ Other (specify below)

(Street)

PARIS, I0 75008       

(City)              (State)              (Zip)
5. If Amendment, Date Original Filed (MM/DD/YYYY)

 

6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person


Table I - Non-Derivative Securities Beneficially Owned
1.Title of Security
(Instr. 4)
2. Amount of Securities Beneficially Owned
(Instr. 4)
3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
4. Nature of Indirect Beneficial Ownership
(Instr. 5)
Common Stock, par value $0.0001   416043   (1) I   See footnote   (2) (3)
Common Stock, par value $0.0001   230103   (1) I   See footnote   (2) (4)
Common Stock, par value $0.0001   183690   (1) I   See footnote   (2) (5)
Common Stock, par value $0.0001   179359   (1) I   See footnote   (2) (6)
Common Stock, par value $0.0001   151441   (1) I   See footnote   (2) (7)
Common Stock, par value $0.0001   116654   (1) I   See footnote   (2) (8)
Common Stock, par value $0.0001   105804   (1) I   See footnote   (2) (9)
Common Stock, par value $0.0001   113115   (1) I   See footnote   (2) (10)
Common Stock, par value $0.0001   50767   (1) I   See footnote   (2) (11)
Common Stock, par value $0.0001   1774   (1) I   See footnote   (2) (12)
Common Stock, par value $0.0001   1255   (1) I   See footnote   (2) (13)
Common Stock, par value $0.0001   10388   (1) I   See footnote   (2) (14)

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
6. Nature of Indirect Beneficial Ownership
(Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (right to buy)   5/4/2017   10/8/2018   Common Stock   364   (15) $2.12   I   See footnote   (2) (16)
Stock Option (right to buy)   5/4/2017   10/8/2018   Common Stock   154   (15) $2.12   I   See footnote   (2) (17)
Stock Option (right to buy)   5/4/2017   10/8/2018   Common Stock   18   (15) $2.12   I   See footnote   (2) (18)
Stock Option (right to buy)   5/4/2017   10/8/2018   Common Stock   17   (15) $2.12   I   See footnote   (2) (19)

Explanation of Responses:
(1)  These shares were acquired pursuant to an Agreement and Plan of Merger, dated as of January 18, 2017 (as amended on March 29, 2017, the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Altimmune, Inc. ("Altimmune"). Pursuant to the Merger Agreement, at the Effective Time of the closing of the Mergers contemplated thereby, the then outstanding shares of Altimmune's common stock and series B preferred stock (collectively, "capital stock") were cancelled and were automatically converted into the right to receive 0.749106 shares of the Company's common stock for each share of Altimmune capital stock then held by the Reporting Person.
(2)  Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.
(3)  Held directly by UFF Innovation 5 (UFF5) FCPI, a FCPI (Fonds Commun de Placement dans l'Innovation), which is a tax efficient French collective investment fund.
(4)  Held directly by UFF Innovation 17 FCPI, a FCPI.
(5)  Held directly by Truffle Cap II (TCII) FCPR, a FCPR (Fonds Commun de Placement a Risque), which is a French venture capital fund for institutional subscribers.
(6)  Held directly by Truffle Fortune 6 FCPI, a FCPI.
(7)  Held directly by UFF Innovation 16 FCPI, a FCPI.
(8)  Held directly by Truffle Fortune 5 FCPI, a FCPI.
(9)  Held directly by Truffle InnoCroissance 2015 FCPI, a FCPI.
(10)  Held directly by UFF Innovation 14 FCPI, a FCPI.
(11)  Held directly by UFF Innovation 15 FCPI, a FCPI.
(12)  Held directly by Europe Innovation 2006 (E106) FCPI, a FCPI.
(13)  Held directly by Europe Innovation 2004 (E104) FCPI, a FCPI.
(14)  Held directly by Truffle Fortune 4 FCPI, a FCPI.
(15)  Pursuant to the terms of the Merger Agreement, the Issuer assumed all outstanding options to purchase shares of Altimmune capital stock on a 0.749106:1 basis upon closing of the merger (i.e., the Issuer issued to the Reporting Person an option to purchase 0.749106 shares of the Issuer for each option to purchase one share of Altimmune capital stock then held by the Reporting Person).
(16)  Held directly by UFF Innovation 5 (UFF5) FCPI, a FCPI.
(17)  Held directly by Truffle Cap II (TCII) FCPR, a FCPR.
(18)  Held directly by Europe Innovation 2006 (E106) FCPI, a FCPI.
(19)  Held directly by Europe Innovation 2004 (E104) FCPI, a FCPI.

Remarks:
Exhibit 24.1 - Power of Attorney

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Truffle Capital S.A.S.
5, RUE DE LA BAUME
PARIS, I0 75008

X


Signatures
/s/ Ori Solomon, Attorney in fact for Philip Hodges 5/15/2017
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
Pharmathene, (delisted) (AMEX:PIP)
Historical Stock Chart
From Apr 2024 to May 2024 Click Here for more Pharmathene, (delisted) Charts.
Pharmathene, (delisted) (AMEX:PIP)
Historical Stock Chart
From May 2023 to May 2024 Click Here for more Pharmathene, (delisted) Charts.