0000899243-20-028172.txt : 20201014 0000899243-20-028172.hdr.sgml : 20201014 20201014161510 ACCESSION NUMBER: 0000899243-20-028172 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201010 FILED AS OF DATE: 20201014 DATE AS OF CHANGE: 20201014 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FALBERG KATHRYN E CENTRAL INDEX KEY: 0001206977 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37519 FILM NUMBER: 201239196 MAIL ADDRESS: STREET 1: C/O AXOVANT SCIENCES, INC. STREET 2: 320 WEST 37TH STREET, 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 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 2020-10-10 1 0001631650 Aimmune Therapeutics, Inc. AIMT 0001206977 FALBERG KATHRYN E C/O AIMMUNE THERAPEUTICS, INC. 8000 MARINA BOULEVARD, SUITE 300 BRISBANE CA 94005-1884 1 0 0 0 Common Stock, $0.0001 par value 2020-10-10 4 U 0 65192 34.50 D 0 D Common Stock, $0.0001 par value 2020-10-10 4 U 0 69894 34.50 D 0 I By: Trust Common Stock, $0.0001 par value 2020-10-13 4 D 0 7840 34.50 D 0 D Stock Option (right to buy) 15.40 2020-10-13 4 D 0 19755 19.10 D Common Stock 19755 0 D Stock Option (right to buy) 18.26 2020-10-13 4 D 0 17500 16.24 D Common Stock 17500 0 D Stock Option (right to buy) 32.79 2020-10-13 4 D 0 7500 1.71 D Common Stock 7500 0 D Stock Option (right to buy) 19.90 2020-10-13 4 D 0 11432 14.60 D Common Stock 11432 0 D Stock Option (right to buy) 17.11 2020-10-13 4 D 0 15398 17.39 D Common Stock 15398 0 D These shares are held by the Trust. Reporting Person has sole voting, investment and dispositive power over the shares held by the Trust. Disposed of to SPN MergerSub, Inc. ("Merger Sub"), which, pursuant to the Agreement and Plan of Merger, dated August 29, 2020, by and between the Issuer, Societes des Produits Nestle S.A., ("Nestle"), and Merger Sub (the "Merger Agreement"), commenced a tender offer to acquire any and all of the outstanding shares of the Issuer's common stock (other than those shares owned by Nestle and its affiliates) at a purchase price of $34.50 per share (the "Offer Price"). Pursuant to the Merger Agreement, each Issuer restricted stock unit ("RSU") that was outstanding immediately prior to the date and time at which the Merger became effective (the "Effective Time") vested in full, terminated, and was converted into the right to receive a cash payment equal to (i) the Offer Price multiplied by (ii) the number of shares of common stock subject to the RSU. Pursuant to the Merger Agreement, at the Effective Time, each stock option outstanding and unexercised immediately prior to the Effective Time vested in full, terminated and was converted into the right to receive a cash payment equal to the product of (i) the number of shares of common stock that were subject to such stock option immediately prior to the Effective Time and (ii) the excess, if any, of the Offer Price over the per share exercise price of such stock option. /s/ Douglas T. Sheehy, as Attorney-in-Fact for Kathryn E. Falberg 2020-10-14