0001493152-22-017507.txt : 20220622 0001493152-22-017507.hdr.sgml : 20220622 20220622170057 ACCESSION NUMBER: 0001493152-22-017507 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220621 FILED AS OF DATE: 20220622 DATE AS OF CHANGE: 20220622 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: 221032722 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 ownership.xml X0306 4 2022-06-21 0 0001798749 Aerovate Therapeutics, Inc. AVTE 0001690959 Resnick Joshua C/O AEROVATE THERAPEUTICS, INC. 930 WINTER STREET, SUITE M-500 WALTHAM, MA 02451 1 0 0 0 Stock Option (Right to Buy) 12.26 2022-06-21 4 A 0 12500 0 A 2032-06-20 Common Stock 12500 12500 D The shares subject to this option will vest and become exercisable in full on the earlier of (i) June 21, 2023 or (ii) the next annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service through the applicable vesting date. 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"), RA Capital Nexus Fund, L.P. (the "Nexus Fund"), and a separately managed account (the "Account"). 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, the Nexus Fund, and the Account to the Adviser. The Reporting Person therefore disclaims beneficial ownership of the option and underlying common stock. /s/ George A. Eldridge, Attorney-in-Fact 2022-06-22