0000899243-18-015156.txt : 20180605 0000899243-18-015156.hdr.sgml : 20180605 20180605192029 ACCESSION NUMBER: 0000899243-18-015156 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180601 FILED AS OF DATE: 20180605 DATE AS OF CHANGE: 20180605 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: 18882658 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 2018-06-01 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 See Remarks Common Stock, $0.0001 par value 2017-10-12 5 G 0 E 2438 0.00 D 12009 I By GRAT 2 Common Stock, $0.0001 par value 2017-10-12 5 G 0 E 2438 0.00 A 23094 I By Family Trust Common Stock, $0.0001 par value 2017-10-12 5 G 0 E 2438 0.00 D 12009 I By Wife's GRAT 2 Common Stock, $0.0001 par value 2017-10-12 5 G 0 E 2438 0.00 A 25532 I By Family Trust Common Stock, $0.0001 par value 2018-06-01 4 M 0 61197 3.0221 A 376505 D Common Stock, $0.0001 par value 2018-06-01 4 S 0 58699 32.5916 D 317806 D Common Stock, $0.0001 par value 2018-06-01 4 S 0 2498 33.186 D 315308 D Common Stock, $0.0001 par value 2018-06-04 4 M 0 65352 3.0221 A 380660 D Common Stock, $0.0001 par value 2018-06-04 4 S 0 62740 31.8431 D 317920 D Common Stock, $0.0001 par value 2018-06-04 4 S 0 2612 32.741 D 315308 D Common Stock, $0.0001 par value 2018-06-05 4 M 0 38825 3.0221 A 354133 D Common Stock, $0.0001 par value 2018-06-05 4 S 0 38825 31.8309 D 315308 D 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 2018-06-01 4 M 0 61197 0.00 D 2025-05-18 Common Stock 61197 534745 D Stock Option(right to buy) 3.0221 2018-06-04 4 M 0 65352 0.00 D 2025-05-18 Common Stock 65352 469393 D Stock Option(right to buy) 3.0221 2018-06-05 4 M 0 38825 0.00 D 2025-05-18 Common Stock 38825 430568 D 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. 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. 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. 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. 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. 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 $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. 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. 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. 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. 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. 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. President and Chief Executive Officer Douglas T. Sheehy, as Attorney-in-Fact for Stephen G. Dilly 2018-06-05