0000899243-18-016350.txt : 20180613
0000899243-18-016350.hdr.sgml : 20180613
20180613160633
ACCESSION NUMBER: 0000899243-18-016350
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180611
FILED AS OF DATE: 20180613
DATE AS OF CHANGE: 20180613
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DILLY STEPHEN GEORGE
CENTRAL INDEX KEY: 0001389147
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37519
FILM NUMBER: 18896783
MAIL ADDRESS:
STREET 1: C/O AVIGEN, INC.
STREET 2: 1301 HARBOR BAY PKWY
CITY: ALAMEDA
STATE: CA
ZIP: 94502
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Aimmune Therapeutics, Inc.
CENTRAL INDEX KEY: 0001631650
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 452748244
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 8000 MARINA BOULEVARD
STREET 2: SUITE 300
CITY: BRISBANE
STATE: CA
ZIP: 94005-1884
BUSINESS PHONE: (650) 614-5220
MAIL ADDRESS:
STREET 1: 8000 MARINA BOULEVARD
STREET 2: SUITE 300
CITY: BRISBANE
STATE: CA
ZIP: 94005-1884
FORMER COMPANY:
FORMER CONFORMED NAME: Allergen Research Corp
DATE OF NAME CHANGE: 20150123
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2018-06-11
0
0001631650
Aimmune Therapeutics, Inc.
AIMT
0001389147
DILLY STEPHEN GEORGE
AIMMUNE THERAPEUTICS, INC.
8000 MARINA BOULEVARD, SUITE 300
BRISBANE
CA
94005-1884
1
1
0
0
President and CEO
Common Stock, $0.0001 par value
2018-06-11
4
M
0
29457
3.0221
A
344765
D
Common Stock, $0.0001 par value
2018-06-11
4
S
0
29457
30.8348
D
315308
D
Common Stock, $0.0001 par value
12009
I
By GRAT 2
Common Stock, $0.0001 par value
12009
I
By Wife's GRAT 2
Common Stock, $0.0001 par value
25532
I
By Family Trust
Common Stock, $0.0001 par value
41075
I
By Child's Trust 1
Common Stock, $0.0001 par value
41075
I
By Child's Trust 2
Stock Option (right to buy)
3.0221
2018-06-11
4
M
0
29457
0.00
D
2025-05-18
Common Stock
29457
295942
D
This sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by Reporting Person.
The transaction was executed in multiple trades in prices ranging from $30.51 to $31.18, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a stockholder of the Issuer, information regarding the number of shares and prices at which the transaction was effected.
These shares are held by Stephen G. Dilly, Trustee, The Stephen G. Dilly 2016 Grantor Retained Annuity Trust DTD August 12, 2016 (the "Second Dilly Trust"). Dr. Dilly has sole voting, investment and dispositive power over the shares held by the Second Dilly Trust.
These shares are held by Edwina Lynette Mullens, Trustee, The Edwina Lynette Mullens 2016 Grantor Retained Annuity Trust DTD August 12, 2016 (the "Second Mullens Trust"). Ms. Mullens has sole voting, investment and dispositive power over the shares held by the Second Mullens Trust. Dr. Dilly disclaims beneficial ownership of the shares held by the Second Mullens Trust.
These shares are held by Stephen G. Dilly and Edwina Lynette Mullens as Trustees of The Dilly Family Trust dated October 9, 2002 (the "Family Trust"). Dr. Dilly and Ms. Mullens have joint voting, investment and dispositive power over the shares held by the Family Trust.
These shares are held by Stephen G. Dilly and Edwina Lynette Mullens as Trustees of The Frederick S W Dilly 2015 Irrevocable Trust dated June 23, 2015 (the "Frederick S W Dilly Trust"). Dr. Dilly and Ms. Mullens have joint voting, investment and dispositive power over the shares held by the Frederick S W Dilly Trust.
These shares are held by Edwina Lynette Mullens and Stephen G. Dilly as Trustees of The Harriet F.L. Dilly 2015 Revocable Trust dated June 23, 2015 (the "Harriet F.L. Dilly Trust"). Dr. Dilly and Ms. Mullens have joint voting, investment and dispositive power over the shares held by the Harriet F.L. Dilly Trust.
The option is immediately exercisable in full or in part. The shares vest pursuant to the following schedule: One forty-eighth (1/48th) of the shares subject to the option vest in 48 successive, equal monthly installments measured from May 13, 2015, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date.
/s/ Douglas T. Sheehy, as Attorney in Fact for Stephen G. Dilly
2018-06-13