0001104659-24-034103.txt : 20240313 0001104659-24-034103.hdr.sgml : 20240313 20240313212250 ACCESSION NUMBER: 0001104659-24-034103 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20240311 FILED AS OF DATE: 20240313 DATE AS OF CHANGE: 20240313 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Wood Todd Michael CENTRAL INDEX KEY: 0001739840 ORGANIZATION NAME: FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34703 FILM NUMBER: 24747713 MAIL ADDRESS: STREET 1: C/O OBALON THERAPEUTICS, INC. STREET 2: 5421 AVENIDA ENCINAS, SUITE F CITY: SAN DIEGO STATE: CA ZIP: 92008 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ALIMERA SCIENCES INC CENTRAL INDEX KEY: 0001267602 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 200028718 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 6310 TOWN SQUARE STREET 2: SUITE 400 CITY: ALPHARETTA STATE: GA ZIP: 30005 BUSINESS PHONE: 678-990-5740 MAIL ADDRESS: STREET 1: 6310 TOWN SQUARE STREET 2: SUITE 400 CITY: ALPHARETTA STATE: GA ZIP: 30005 4 1 tm248828-4_4seq1.xml OWNERSHIP DOCUMENT X0508 4 2024-03-11 0 0001267602 ALIMERA SCIENCES INC ALIM 0001739840 Wood Todd Michael 6310 TOWN SQUARE, SUITE 400 ALPHARETTA GA 30005 0 1 0 0 President of U.S. Operations 0 Restricted Stock Units 2024-03-11 4 A 0 125000 0.00 A Common Stock 125000 125000 D Performance-Based Restricted Stock Units 2024-03-11 4 A 0 125000 0.00 A Common Stock 125000 125000 D Each Restricted Stock Unit (RSU) represents a contingent right to receive one (1) share of the common stock of the Issuer. Each Performance-Based Restricted Stock Unit (PSU) represents a contingent right to receive one (1) share of the common stock of the Issuer, subject to the achievement of applicable performance criteria. The RSUs were awarded to the Reporting Person under the Alimera Sciences, Inc. 2024 Equity Inducement Plan. 25% of the RSUs are scheduled to vest on the first anniversary of the Reporting Person's employment commencement date and the remaining portion of the RSUs will vest in equal monthly installments over the following 36 months, subject to the Reporting Person's continuous employment with the Issuer on each such vesting date. The PSUs were awarded to the Reporting Person under the Alimera Sciences, Inc. 2024 Equity Inducement Plan. Each PSU represents the right to receive, following vesting, one (1) share of common stock of the Issuer. 1/3 of the PSUs will vest for each performance year during the 3-year performance period beginning January 1, 2024 and ending on December 31, 2026 if either one of the pre-established annual revenue target and stock price target is satisfied during such performance year, as set forth in the Reporting Person's award agreement. The number of PSUs reported reflects the maximum number of PSUs that the Reporting Person may earn at the end of the 3-year performance period. /s/ Todd Wood 2024-03-13