0000899243-17-018322.txt : 20170717 0000899243-17-018322.hdr.sgml : 20170717 20170717163109 ACCESSION NUMBER: 0000899243-17-018322 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170713 FILED AS OF DATE: 20170717 DATE AS OF CHANGE: 20170717 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rozenman Mary M. CENTRAL INDEX KEY: 0001648920 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37519 FILM NUMBER: 17967805 MAIL ADDRESS: STREET 1: AIMMUNE THERAPEUTICS, INC. STREET 2: 8000 MARINA BOULEVARD, SUITE 300 CITY: BRISBANE STATE: CA ZIP: 94005 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 2017-07-13 0 0001631650 Aimmune Therapeutics, Inc. AIMT 0001648920 Rozenman Mary M. AIMMUNE THERAPEUTICS, INC. 8000 MARINA BOULEVARD, SUITE 300 BRISBANE CA 94005-1884 0 1 0 0 See Remarks Common Stock, $0.0001 par value 2017-07-13 4 M 0 8974 3.022 A 9103 D Common Stock, $0.0001 par value 2017-07-13 4 S 0 8974 21.4685 D 129 D Common Stock, $0.0001 par value 2017-07-14 4 M 0 5666 3.022 A 5795 D Common Stock, $0.0001 par value 2017-07-14 4 S 0 5666 21.3863 D 129 D Common Stock, $0.0001 par value 2017-07-17 4 M 0 300 3.022 A 429 D Common Stock, $0.0001 par value 2017-07-17 4 S 0 300 21.38 D 129 D Stock Option (right to buy) 3.022 2017-07-13 4 M 0 8974 0.00 D 2025-04-17 Common Stock 8974 231402 D Stock Option (right to buy) 3.022 2017-07-14 4 M 0 5666 0.00 D 2025-04-17 Common Stock 5666 225736 D Stock Option (right to buy) 3.022 2017-07-17 4 M 0 300 0.00 D 2025-04-17 Common Stock 300 225436 D The sale reported in the Form 4 was effected pursuant to a Rule 10b5 1 trading plan adopted by the Reporting Person. The transaction was executed in multiple trades in prices ranging from $21.38 to $21.59, 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 $21.38 to $21.44, 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. The option is immediately exercisable in full or in part. The shares vest pursuant to the following schedule: Twenty Five Percent (25%) of the shares subject to the option vest on the first anniversary measured from February 1, 2015 (the "Vesting Commencement Date") and the remaining shares subject to the option vest in 36 successive, equal monthly installments thereafter on each monthly anniversary of the Vesting Commencement Date, subject to Reporting Person's continued service relationship with the Issuer on each such vesting date. Senior VP, Corporate Development and Strategy /s/ Douglas T. Sheehy, as Attorney-in-Fact for Mary M. Rozenman 2017-07-17 EX-24 2 attachment1.htm EX-24 DOCUMENT

                                POWER OF ATTORNEY

        KNOW ALL BY THESE PRESENTS, that the undersigned hereby constitutes and
appoints each of (i) the President and Chief Executive Officer of Aimmune
Therapeutics, Inc., a Delaware corporation (the "Company"), who is currently
Stephen G. Dilly or (ii) the Company's General Counsel and Corporate Secretary,
who is currently Douglas T. Sheehy, and their respective successors, signing
singly, with full power of substitution, as the undersigned's true and lawful
attorney-in-fact to:

        (1)     execute for and on behalf of the undersigned, in the
undersigned's capacity as an officer of the Company, Forms 3, 4 and 5 (including
amendments thereto) in accordance with Section 16(a) of the Securities Exchange
Act of 1934 and the rules and regulations thereunder and a Form ID, Uniform
Application for Access Codes to File on EDGAR;

        (2)     do and perform any and all acts for and on behalf of the
undersigned which may be necessary or desirable to complete and execute any such
Forms 3, 4 or 5 or Form ID and timely file such forms (including amendments
thereto) and application with the United States Securities and Exchange
Commission and any stock exchange or similar authority; and

        (3)     take any other action of any type whatsoever in connection with
the foregoing which, in the opinion of such attorney-in-fact, may be of benefit
to, in the best interest of, or legally required by, the undersigned, it being
understood that the documents executed by such attorney-in-fact on behalf of the
undersigned pursuant to this Power of Attorney shall be in such form and shall
contain such terms and conditions as such attorney-in-fact may approve in such
attorney-in-fact's discretion.

        The undersigned hereby grants to each such attorney-in-fact full power
and authority to do and perform any and every act and thing whatsoever
requisite, necessary or proper to be done in the exercise of any of the rights
and powers herein granted, as fully to all intents and purposes as the
undersigned might or could do if personally present, with full power of
substitution or revocation, hereby ratifying and confirming all that such
attorney-in-fact, or such attorney-in-fact's substitute or substitutes, shall
lawfully do or cause to be done by virtue of this power of attorney and the
rights and powers herein granted. The undersigned acknowledges that the
foregoing attorneys-in-fact, in serving in such capacity at the request of the
undersigned, are not assuming, nor is the Company assuming, any of the
undersigned's responsibilities to comply with Section 16 of the Securities
Exchange Act of 1934.

        The undersigned agrees that each such attorney-in-fact herein may rely
entirely on information furnished orally or in writing by the undersigned to
such attorney-in-fact. The undersigned also agrees to indemnify and hold
harmless the Company and each such attorney-in-fact against any losses, claims,
damages or liabilities (or actions in these respects) that arise out of or are
based upon any untrue statements or omission of necessary facts in the
information provided by the undersigned to such attorney-in fact for purposes of
executing, acknowledging, delivering or filing Forms 3, 4 or 5 (including
amendments thereto) or Form ID and agrees to reimburse the Company and such
attorney-in-fact for any legal or other expenses reasonably incurred in
connection with investigating or defending against any such loss, claim, damage,
liability or action.

        This Power of Attorney supersedes any power of attorney previously
executed by the undersigned regarding the purposes outlined in the first
paragraph hereof ("Prior Powers of Attorney"), and the authority of the
attorneys-in-fact named in any Prior Powers of Attorney is hereby revoked.

        This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4 or 5 with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier (a) revoked by the undersigned in a signed writing delivered to
the foregoing attorneys-in-fact or (b) superseded by a new power of attorney
regarding the purposes outlined in the first paragraph hereof dated as of a
later date.

        IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to
be executed as of this 23rd day of March, 2017.

                                        /s/ Mary M. Rozenman
                                        ---------------------------------------
                                        MARY M. ROZENMAN