0001104659-21-088387.txt : 20210701 0001104659-21-088387.hdr.sgml : 20210701 20210701183650 ACCESSION NUMBER: 0001104659-21-088387 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210629 FILED AS OF DATE: 20210701 DATE AS OF CHANGE: 20210701 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Resnick Joshua CENTRAL INDEX KEY: 0001690959 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40544 FILM NUMBER: 211067424 MAIL ADDRESS: STREET 1: ONE BOSTON PLACE STREET 2: 201 WASHINGTON STREET, SUITE 3900 CITY: BOSTON STATE: MA ZIP: 02108 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Aerovate Therapeutics, Inc. CENTRAL INDEX KEY: 0001798749 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 831377888 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 200 BERKELEY STREET STREET 2: FLOOR 18 CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617-443-2400 MAIL ADDRESS: STREET 1: 200 BERKELEY STREET STREET 2: FLOOR 18 CITY: BOSTON STATE: MA ZIP: 02116 4 1 tm2121189-9_4seq1.xml OWNERSHIP DOCUMENT X0306 4 2021-06-29 0 0001798749 Aerovate Therapeutics, Inc. AVTE 0001690959 Resnick Joshua C/O AEROVATE THERAPEUTICS, INC. 200 BERKELEY STREET, FLOOR 18 BOSTON MA 02116 1 0 0 0 Stock Option (Right to Buy) 14.00 2021-06-29 4 A 0 25000 0 A 2031-06-28 Common Stock 25000 25000 D This option shall vest in 36 substantially equal monthly installments, with the first installment vesting on July 29, 2021. Under the Reporting Person's arrangement with RA Capital Management, L.P. (the "Adviser"), the Reporting Person holds the option for the benefit of the RA Capital Healthcare Fund, L.P. (the "Fund") and RA Capital Nexus Fund, L.P. (the "Nexus Fund"). The Reporting Person is obligated to turn over to the Adviser any net cash or stock received upon exercise of the option, which will offset advisory fees owed by the Fund and Nexus Fund to the Adviser. The Reporting Person therefore disclaims beneficial ownership of the option and underlying common stock. /s/ George A. Eldridge, Attorney-in-Fact 2021-07-01