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