0000899243-17-023786.txt : 20171006 0000899243-17-023786.hdr.sgml : 20171006 20171006180251 ACCESSION NUMBER: 0000899243-17-023786 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171004 FILED AS OF DATE: 20171006 DATE AS OF CHANGE: 20171006 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: 171128253 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 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 2017-10-04 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 2017-10-04 4 S 0 50000 26.2148 D 465308 D Common Stock, $0.0001 par value 2017-10-04 4 S 0 30110 26.2575 D 435198 D Common Stock, $0.0001 par value 2017-10-05 4 S 0 14689 26.2438 D 420509 D Common Stock, $0.0001 par value 2017-10-06 4 S 0 4047 26.308 D 416462 D Common Stock, $0.0001 par value 41075 I By Child's Trust 1 Common Stock, $0.0001 par value 20656 I By Family Trust Common Stock, $0.0001 par value 41075 I By Child's Trust 2 Common Stock, $0.0001 par value 14447 I By GRAT 2 Common Stock, $0.0001 par value 14447 I By Wife's GRAT 2 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 $26.10 to $26.29, 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. A portion of these shares is subject to a right of repurchase held by the Issuer. The transaction was executed in multiple trades in prices ranging from $26.23 to $26.29, 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. The transaction was executed in multiple trades in prices ranging from $26.23 to $26.44, 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 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 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 the Harriet F.L. 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 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. /s/ Douglas T. Sheehy, as Attorney-in-Fact for Stephen G. Dilly 2017-10-06