Filing Details

Accession Number:
0000899243-18-015156
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-06-05 19:20:29
Reporting Period:
2018-06-01
Accepted Time:
2018-06-05 19:20:29
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1631650 Aimmune Therapeutics Inc. AIMT () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1389147 George Stephen Dilly Aimmune Therapeutics, Inc.
8000 Marina Boulevard, Suite 300
Brisbane CA 94005-1884
See Remarks Yes Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, $0.0001 Par Value Disposition 2017-10-12 2,438 $0.00 12,009 No 5 G Indirect By GRAT 2
Common Stock, $0.0001 Par Value Acquisiton 2017-10-12 2,438 $0.00 23,094 No 5 G Indirect By Family Trust
Common Stock, $0.0001 Par Value Disposition 2017-10-12 2,438 $0.00 12,009 No 5 G Indirect By Wife's GRAT 2
Common Stock, $0.0001 Par Value Acquisiton 2017-10-12 2,438 $0.00 25,532 No 5 G Indirect By Family Trust
Common Stock, $0.0001 Par Value Acquisiton 2018-06-01 61,197 $3.02 376,505 No 4 M Direct
Common Stock, $0.0001 Par Value Disposition 2018-06-01 58,699 $32.59 317,806 No 4 S Direct
Common Stock, $0.0001 Par Value Disposition 2018-06-01 2,498 $33.19 315,308 No 4 S Direct
Common Stock, $0.0001 Par Value Acquisiton 2018-06-04 65,352 $3.02 380,660 No 4 M Direct
Common Stock, $0.0001 Par Value Disposition 2018-06-04 62,740 $31.84 317,920 No 4 S Direct
Common Stock, $0.0001 Par Value Disposition 2018-06-04 2,612 $32.74 315,308 No 4 S Direct
Common Stock, $0.0001 Par Value Acquisiton 2018-06-05 38,825 $3.02 354,133 No 4 M Direct
Common Stock, $0.0001 Par Value Disposition 2018-06-05 38,825 $31.83 315,308 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 5 G Indirect By GRAT 2
No 5 G Indirect By Family Trust
No 5 G Indirect By Wife's GRAT 2
No 5 G Indirect By Family Trust
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
No 4 S Direct
No 4 M Direct
No 4 S Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Stock Option(right to buy) Disposition 2018-06-01 61,197 $0.00 61,197 $3.02
Common Stock Stock Option(right to buy) Disposition 2018-06-04 65,352 $0.00 65,352 $3.02
Common Stock Stock Option(right to buy) Disposition 2018-06-05 38,825 $0.00 38,825 $3.02
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
534,745 2025-05-18 No 4 M Direct
469,393 2025-05-18 No 4 M Direct
430,568 2025-05-18 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, $0.0001 Par Value 41,075 Indirect By Child's Trust 1
Common Stock, $0.0001 Par Value 41,075 Indirect By Child's Trust 2
Footnotes
  1. This transaction involved a gift of securities previously held indirectly by Stephen G. Dilly, as Trustee of The Stephen G. Dilly 2016 Grantor Retained Annuity Trust dated August 12, 2016 (the "Second Dilly Trust"). Such shares were transferred from the Second Dilly Trust to Stephen G. Dilly and Edwina Lynette Mullens as Trustees of The Dilly Family Trust dated October 9, 2002 (the "Family Trust") on October 12, 2017.
  2. These shares are held by the Second Dilly Trust. Dr. Dilly has sole voting, investment and dispositive power over the shares held by the Second Dilly Trust.
  3. These shares are held by the Family Trust. Dr. Dilly and Ms. Mullens have joint voting, investment and dispositive power over the shares held by the Family Trust.
  4. This transaction involved a gift of securities previously held indirectly by Edwina Lynette Mullens, as Trustee of The Edwina Lynette Mullens 2016 Grantor Retained Annuity Trust dated August 12, 2016 (the "Second Mullens Trust"). Such shares were transferred from the Second Mullens Trust to the Family Trust on October 12, 2017. Dr. Dilly disclaims beneficial ownership of the shares held by Ms. Mullens.
  5. These shares are held by 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.
  6. This sale reported in the Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by Reporting Person.
  7. The transaction was executed in multiple trades in prices ranging from $32.06 to $33.06, 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.
  8. The transaction was executed in multiple trades in prices ranging from $33.13 to $33.20, 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.
  9. The transaction was executed in multiple trades in prices ranging from $31.45 to $32.33, 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.
  10. The transaction was executed in multiple trades in prices ranging from $32.58 to $32.80, 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.
  11. The transaction was executed in multiple trades in prices ranging from $31.55 to 32.36, 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.
  12. 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.
  13. 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.
  14. 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.