4//SEC Filing
Truffle Capital S.A.S. 4
Accession 0001012975-18-000083
CIK 0001326190other
Filed
Jan 18, 7:00 PM ET
Accepted
Jan 19, 4:56 PM ET
Size
24.9 KB
Accession
0001012975-18-000083
Insider Transaction Report
Form 4
Truffle Capital S.A.S.
10% Owner
Transactions
- Other
Common Stock, par value $0.0001
2018-01-17+11,655→ 157,155 total(indirect: See Footnote) - Other
Common Stock, par value $0.0001
2018-01-17+15,541→ 109,488 total(indirect: See Footnote) - Other
Common Stock, par value $0.0001
2018-01-17+11,655→ 54,428 total(indirect: See Footnote) - Other
Series B Convertible Preferred Stock
2018-01-17−22.766→ 136.596 total(indirect: See Footnote)Exercise: $2.67From: 2017-08-21Exp: 2018-08-15→ Common Stock, par value $0.0001 (8,527 underlying) - Other
Series B Convertible Preferred Stock
2018-01-17−30.355→ 182.127 total(indirect: See Footnote)Exercise: $2.67From: 2017-08-21Exp: 2018-08-15→ Common Stock, par value $0.0001 (11,369 underlying) - Other
Series B Convertible Preferred Stock
2018-01-17−22.766→ 136.596 total(indirect: See Footnote)Exercise: $2.67From: 2017-08-21Exp: 2018-08-15→ Common Stock, par value $0.0001 (8,527 underlying)
Holdings
- 230,103(indirect: See Footnote)
Common Stock, par value $0.0001
- 179,359(indirect: See Footnote)
Common Stock, par value $0.0001
- 116,654(indirect: See Footnote)
Common Stock, par value $0.0001
- 1,774(indirect: See Footnote)
Common Stock, par value $0.0001
- 1,255(indirect: See Footnote)
Common Stock, par value $0.0001
- 416,043(indirect: See Footnote)
Common Stock, par value $0.0001
- 151,441(indirect: See Footnote)
Common Stock, par value $0.0001
- 105,804(indirect: See Footnote)
Common Stock, par value $0.0001
- 183,690(indirect: See Footnote)
Common Stock, par value $0.0001
Footnotes (15)
- [F1]Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.6420 per share of Common Stock.
- [F10]Held directly by UFF Innovation 16 FCPI, a FCPI.
- [F11]Held directly by Truffle Fortune 5 FCPI, a FCPI.
- [F12]Held directly by Truffle InnoCroissance 2015 FCPI, a FCPI.
- [F13]Held directly by Europe Innovation 2006 (E106) FCPI, a FCPI.
- [F14]Held directly by Europe Innovation 2004 (E104) FCPI, a FCPI.
- [F15]The Issuer's Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's 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.
- [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]Held directly by UFF Innovation 5 (UFF5) FCPI, a FCPI.
- [F7]Held directly by UFF Innovation 17 FCPI, a FCPI.
- [F8]Held directly by Truffle Cap II (TCII) FCPR, a FCPR (Fonds Commun de Placement a Risque), which is a French venture capital fund for institutional subscribers.
- [F9]Held directly by Truffle Fortune 6 FCPI, a FCPI.
Documents
Issuer
Altimmune, Inc.
CIK 0001326190
Entity typeother
IncorporatedFrance
Related Parties
1- filerCIK 0001706034
Filing Metadata
- Form type
- 4
- Filed
- Jan 18, 7:00 PM ET
- Accepted
- Jan 19, 4:56 PM ET
- Size
- 24.9 KB