4//SEC Filing
Truffle Capital S.A.S. 4
Accession 0001012975-17-000652
CIK 0001326190other
Filed
Aug 22, 8:00 PM ET
Accepted
Aug 23, 4:23 PM ET
Size
19.0 KB
Accession
0001012975-17-000652
Insider Transaction Report
Form 4
Truffle Capital S.A.S.
10% Owner
Transactions
- Purchase
Series B Convertible Preferred Stock
2017-08-21$940.00/sh+204.894$192,600→ 204.894 total(indirect: See Footnote)Exercise: $2.67From: 2017-08-21Exp: 2018-08-15→ Common Stock, par value $0.0001 (76,740 underlying) - Purchase
Series B Convertible Preferred Stock
2017-08-21$940.00/sh+204.894$192,600→ 204.894 total(indirect: See Footnote)Exercise: $2.67From: 2017-08-21Exp: 2018-08-15→ Common Stock, par value $0.0001 (76,740 underlying) - Purchase
Series B Convertible Preferred Stock
2017-08-21$940.00/sh+273.191$256,800→ 273.191 total(indirect: See Footnote)Exercise: $2.67From: 2017-08-21Exp: 2018-08-15→ Common Stock, par value $0.0001 (102,318 underlying) - Purchase
Warrant
2017-08-21+40,927→ 40,927 total(indirect: See Footnote)Exercise: $2.67From: 2017-08-21Exp: 2022-08-15→ Common Stock, par value $0.0001 (40,927 underlying) - Purchase
Warrant
2017-08-21+30,696→ 30,696 total(indirect: See Footnote)Exercise: $2.67From: 2017-08-21Exp: 2022-08-15→ Common Stock, par value $0.0001 (30,696 underlying) - Purchase
Warrant
2017-08-21+30,696→ 30,696 total(indirect: See Footnote)Exercise: $2.67From: 2017-08-21Exp: 2022-08-15→ Common Stock, par value $0.0001 (30,696 underlying)
Footnotes (6)
- [F1]The Issuer's Series B Convertible Preferred Stock (the "Preferred Stock") is convertible at any time at the option of the holder into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"), subject to certain restrictions, at an initial conversion price of $2.67 per share and a stated amount of $1,000 per share. Prior to the receipt of approval by the Issuer's stockholders for the issuance of shares pursuant to the conversion of the Preferred Stock (the "Requisite Stockholder Approval"), the Preferred Stock may not be converted by the holder if, as a result of such conversion, the holder, together with its affiliates, would hold more than 19.99% of the Issuer's Common Stock.
- [F2]Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.
- [F3]Held directly by UFF Innovation 14 FCPI, a FCPI (Fonds Commun de Placement dans l'Innovation), which is a tax efficient French collective investment fund.
- [F4]Held directly by UFF Innovation 15 FCPI, a FCPI.
- [F5]Held directly by Truffle Fortune 4 FCPI, a FCPI.
- [F6]Warrants to purchase shares of the Issuer's Common Stock were acquired in connection with the acquisition of the Preferred Stock and reported on this Form 4. The Warrants may not be exercised if such exercise would cause the holder, together with its affiliates, to hold more than 19.99% of the Issuer's Common Stock, prior to the receipt by the Issuer of the Requisite Stockholder Approval.
Documents
Issuer
Altimmune, Inc.
CIK 0001326190
Entity typeother
IncorporatedFrance
Related Parties
1- filerCIK 0001706034
Filing Metadata
- Form type
- 4
- Filed
- Aug 22, 8:00 PM ET
- Accepted
- Aug 23, 4:23 PM ET
- Size
- 19.0 KB