Statement of Changes in Beneficial Ownership (4)
June 26 2020 - 5:06PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Dallas Jayson Donald Alexander |
2. Issuer Name and Ticker or Trading Symbol
Aimmune Therapeutics, Inc.
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AIMT
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) President and CEO |
(Last)
(First)
(Middle)
AIMMUNE THERAPEUTICS, INC., 8000 MARINA BOULEVARD, SUITE 300 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
6/22/2020 |
(Street)
BRISBANE, CA 94005-1884
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, $0.0001 par value | 6/22/2020 | | F(1) | | 7907 | D | $18.02 | 118676 (2)(3)(4)(5) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | The reported sale was made pursuant to a pre-determined election to sell shares to cover tax withholding obligations in connection with the vesting of a previously reported equity award. |
(2) | Includes 3,300 restricted stock units ("RSUs") which will be settled in common stock upon vesting. The RSUs vest as to 100% of the underlying shares on September 11, 2020 (the "Vesting Date"), subject to the Reporting Person's continued service relationship with the Issuer on the Vesting Date. |
(3) | Includes 33,000 RSUs which will be settled in common stock upon vesting. The RSUs vest in three successive, equal, annual installments measured from March 1, 2020 subject to the Reporting Person's continued service relationship with the Issuer on each such vesting date. |
(4) | Includes the balance of 35,000 RSUs which will be settled in common stock upon vesting. The RSUs vest in four successive, equal, annual installments measured from March 1, 2019 subject to the Reporting Person's continued service relationship with the Issuer on each such vesting date. |
(5) | Includes the balance of 60,000 RSUs which will be settled in common stock upon vesting. The RSUs vest in four successive, equal, annual installments measured from June 19, 2018 subject to the Reporting Person's continued service relationship with the Issuer on each such vesting date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Dallas Jayson Donald Alexander AIMMUNE THERAPEUTICS, INC. 8000 MARINA BOULEVARD, SUITE 300 BRISBANE, CA 94005-1884 | X |
| President and CEO |
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Signatures
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/s/ Douglas T. Sheehy, as Attorney-in-Fact for Jayson Donald Alexander Dallas | | 6/26/2020 |
**Signature of Reporting Person | Date |
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