SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
Societe des Produits Nestle S.A.

(Last) (First) (Middle)
AVENUE NESTLE 55

(Street)
CH-1800, VEVEY V8

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Aimmune Therapeutics, Inc. [ AIMT ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director X 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
02/07/2020
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
Form filed by One Reporting Person
X Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 02/07/2020 P 1,000,000 A $31.97 12,727,113(1) I See Footnote(1)
Series A Preferred Stock 02/07/2020 P 525,634 A $319.675 525,634(2) I See Footnote(2)
Common Stock 04/22/2020 J(3) 12,727,113 A $16.11 12,727,113(3) I See Footnote(3)
Series A Preferred Stock 04/22/2020 J(3) 525,634 A $161.1 525,634(3) I See Footnote(3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction 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 (Month/Day/Year) 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: 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
1. Name and Address of Reporting Person*
Societe des Produits Nestle S.A.

(Last) (First) (Middle)
AVENUE NESTLE 55

(Street)
CH-1800, VEVEY V8

(City) (State) (Zip)
1. Name and Address of Reporting Person*
NESTLE SA

(Last) (First) (Middle)
AVENUE NESTLE 55

(Street)
CH-1800, VEVEY V8

(City) (State) (Zip)
Explanation of Responses:
1. Consists of 12,727,113 shares of Common Stock held by Nestle Health Science US Holdings, Inc. ("NHS"). NHS is a wholly owned subsidiary of NIMCO US, Inc. ("NIMCO"). NIMCO, in turn, is a wholly-owned subsidiary of Nestle US Holdco, Inc. ("Nestle US Holdco"), which is a wholly-owned subsidiary of Societe des Products Nestle S.A.("SPN"). The ultimate parent company of NHS, NIMCO, Nestle US Holdco and SPN is Nestle S.A. ("Nestle"). Following the purchase referred to in the table above and prior to the internal transfer referred to in Note 3 below, each of these entities may be deemed to share voting and investment power with respect to all shares of Common Stock held by NHS. Each of NIMCO, Nestle US Holdco, SPN and Nestle disclaims beneficial ownership of such shares of Common Stock except to the extent of its pecuniary interest therein.
2. Consists of 525,634 shares of Series A Preferred Stock held by NHS with each share of Series A Preferred Stock convertible into ten shares of Common Stock. Following the purchase and prior to the internal transfer referred to in Note 3 below, each of NHS, NIMCO, Nestle US Holdco, SPN and Nestle may be deemed to share voting and investment power with respect to these shares of Series A Preferred Stock held by NHS. Each of NIMCO, Nestle US Holdco, SPN and Nestle disclaims beneficial ownership of such shares of Series A Preferred Stock except to the extent of its pecuniary interest therein.
3. This transaction constitutes an internal transfer of 12,727,113 shares of Common Stock and 525,634 shares of Series A Preferred Stock from NHS to SPN. Following the transfer, SPN and Nestle may be deemed to share voting and investment power with respect to all shares of Common Stock and Series A Preferred Stock. Nestle disclaims beneficial ownership of such shares of Common Stock and Series A Preferred Stock except to the extent of its pecuniary interest therein. Subsequent to this internal transfer, each of NHS, NIMCO, and Nestle US Holdco no longer hold any shares of Common Stock or Series A Preferred Stock and are therefore no longer Reporting Owners.
Remarks:
NESTLE HEALTH SCIENCE US HOLDINGS, INC. By: Name: James Pepin, Title: Director and President 04/24/2020
NIMCO US, INC. By: Name: Dan Nugent, Title: Chief Legal Officer and General Counsel 04/24/2020
NESTLE US HOLDCO, INC. By: Name: Michael Prewitt, Title: Secretary 04/24/2020
SOCIETE DES PRODUITS NESTLE S.A. By: Name: Claudio Kuoni, Title: Vice President 04/24/2020
NESTLE S.A. By: Name: Gregory Behar, Title: Deputy Executive Vice President 04/24/2020
** 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 4 (b)(v).
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