Initial Statement of Beneficial Ownership (3)
January 11 2019 - 5:18PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Jones John Philip
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2. Date of Event Requiring Statement (MM/DD/YYYY)
1/2/2019
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3. Issuer Name
and
Ticker or Trading Symbol
ALIMERA SCIENCES INC [ALIM]
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(Last)
(First)
(Middle)
6120 WINDWARD PARKWAY, SUITE 290
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
Chief Financial Officer /
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(Street)
ALPHARETTA, GA 30005
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
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X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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32018
(1)
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Option (Right to Buy)
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(2)
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6/24/2025
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Common Stock
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20000.0
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$5.0
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D
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Employee Stock Option (Right to Buy)
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(3)
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12/15/2025
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Common Stock
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15000.0
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$2.36
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D
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Employee Stock Option (Right to Buy)
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(4)
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8/2/2026
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Common Stock
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25000.0
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$2.0
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D
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Employee Stock Option (Right to Buy)
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(5)
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9/28/2026
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Common Stock
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10000.0
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$1.49
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D
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Employee Stock Option (Right to Buy)
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(6)
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12/7/2027
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Common Stock
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30000.0
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$1.3
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D
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Explanation of Responses:
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(1)
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Represents 22,000 shares of common stock underlying a restricted stock unit award (RSU) and 10,018 shares of common stock that the Reporting Person owns. The RSU shall vest in five equal daily installments beginning on January 22, 2019, provided that the Reporting Person has provided continuous service to the Issuer through the applicable vesting date. The RSU represents the Issuer's unfunded and unsecured promise to issue shares of Common Stock on future vesting dates.
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(2)
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Became exercisable with respect to one-quarter of the shares of stock which are subject to this option on June 17, 2016 (the "Initial Vesting Date") and with respect to the remainder of the shares in equal increments monthly over three years beginning on the date one month from the Initial Vesting Date, provided that the Reporting Person has provided continuous service to the Issuer through the applicable vesting date.
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(3)
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Becomes exercisable in equal monthly installments over 48 months beginning one month after the vesting commencement date of December 16, 2015, provided the Reporting Person has provided continuous service to the Issuer through the applicable vesting date.
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(4)
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Becomes exercisable in equal monthly installments over 48 months beginning one month after the vesting commencement date of August 1, 2016, provided the Reporting Person has provided continuous service to the Issuer through the applicable vesting date.
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(5)
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Becomes exercisable in equal monthly installments over 48 months beginning one month after the vesting commencement date of September 29, 2016, provided the Reporting Person has provided continuous service to the Issuer through the applicable vesting date.
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(6)
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Becomes exercisable in equal monthly installments over 48 months beginning one month after the vesting commencement date of December 8, 2017, provided the Reporting Person has provided continuous service to the Issuer through the applicable vesting date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Jones John Philip
6120 WINDWARD PARKWAY
SUITE 290
ALPHARETTA, GA 30005
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Chief Financial Officer
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Signatures
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/s/ J. Philip Jones
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1/3/2019
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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