0001493152-22-025660.txt : 20220912 0001493152-22-025660.hdr.sgml : 20220912 20220912173009 ACCESSION NUMBER: 0001493152-22-025660 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220908 FILED AS OF DATE: 20220912 DATE AS OF CHANGE: 20220912 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Dake Benjamin T CENTRAL INDEX KEY: 0001869248 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40544 FILM NUMBER: 221239337 MAIL ADDRESS: STREET 1: C/O AEROVATE THERAPEUTICS, INC. STREET 2: 200 BERKELEY STREET, FLOOR 18 CITY: BOSTON STATE: MA ZIP: 02116 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: 930 WINTER STREET STREET 2: SUITE M-500 CITY: WALTHAM STATE: MA ZIP: 02451 BUSINESS PHONE: 617-443-2400 MAIL ADDRESS: STREET 1: 930 WINTER STREET STREET 2: SUITE M-500 CITY: WALTHAM STATE: MA ZIP: 02451 4 1 ownership.xml X0306 4 2022-09-08 0 0001798749 Aerovate Therapeutics, Inc. AVTE 0001869248 Dake Benjamin T C/O AEROVATE THERAPEUTICS, INC. 930 WINTER STREET, SUITE M-500 WALTHAM, MA 02451 0 1 0 0 See Remarks Common Stock 2022-09-08 4 M 0 3120 1.74 A 3120 D Common Stock 2022-09-08 4 S 0 2491 18.1426 D 629 D Common Stock 2022-09-08 4 S 0 629 18.4234 D 0 D Common Stock 2022-09-09 4 M 0 258 1.74 A 258 D Common Stock 2022-09-09 4 M 0 4462 2.14 A 4720 D Common Stock 2022-09-09 4 S 0 4544 17.5045 D 176 D Common Stock 2022-09-09 4 S 0 176 18.5359 D 0 D Stock Option (Right to Buy) 1.74 2022-09-08 4 M 0 648 0 D 2030-09-03 Common Stock 648 14746 D Stock Option (Right to Buy) 1.74 2022-09-08 4 M 0 2472 0 D 2030-09-03 Common Stock 2472 34656 D Stock Option (Right to Buy) 1.74 2022-09-09 4 M 0 258 0 D 2030-09-03 Common Stock 258 14488 D Stock Option (Right to Buy) 2.14 2022-09-09 4 M 0 4462 0 D 2031-04-02 Common Stock 4462 44420 D This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on April 14, 2022. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $17.39 to $18.385, inclusive. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $18.40 to $18.505, inclusive. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $17.06 to $18.06, inclusive. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $18.07 to $18.75, inclusive. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request. A total of 48,293 shares subject to an employee stock option were granted on September 4, 2020, with 10% of the shares vested on January 1, 2020, an additional 22.5% of the shares vested on January 1, 2021, and the remainder vesting in 36 substantially equal monthly installments thereafter. A total of 72,325 shares subject to an employee stock option were granted on September 4, 2020, with 25% of the shares vested on August 1, 2021, and the remainder vesting in 36 substantially equal monthly installments thereafter. A total of 48,882 shares subject to an employee stock option were granted on April 2, 2021, with shares vesting in 48 substantially equal monthly installments. Officer Title: President, Chief Operating Officer and Secretary /s/ George A. Eldridge, Attorney-in-Fact 2022-09-12