Sec Form 4 Filing - FALBERG KATHRYN E @ Aimmune Therapeutics, Inc. - 2019-05-23

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
FALBERG KATHRYN E
2. Issuer Name and Ticker or Trading Symbol
Aimmune Therapeutics, Inc. [ AIMT]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last) (First) (Middle)
C/O AIMMUNE THERAPEUTICS, INC., 8000 MARINA BOULEVARD, SUITE 300
3. Date of Earliest Transaction (MM/DD/YY)
05/23/2019
(Street)
BRISBANE, CA94005-1884
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, $0.0001 par value 11/01/2018 G( 1 ) V 69,894 D $ 0 58,750 ( 2 ) D
Common Stock, $0.0001 par value 11/01/2018 G( 1 ) V 69,894 A $ 0 69,894 I By Trust ( 3 )
Common Stock, $0.0001 par value 05/23/2019 A 6,442 ( 4 ) A $ 0 65,192 ( 2 ) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (right to buy) $ 19.9 05/23/2019 A 11,432 ( 5 ) 05/23/2029 Common Stock 11,432 $ 0 11,432 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
FALBERG KATHRYN E
C/O AIMMUNE THERAPEUTICS, INC.
8000 MARINA BOULEVARD, SUITE 300
BRISBANE, CA94005-1884
X
Signatures
/s/ Douglas T. Sheehy, as Attorney-in-Fact for Kathryn E. Falberg 05/28/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )This transaction involved a gift of securities previously held directly by Kathryn E. Falberg ("Reporting Person"). Such shares were transferred from Reporting Person to Kathryn E. Falberg, Trustee U/A dtd 06/12/95 Kathryn E. Falberg Trust (the "Trust") on November 1, 2018.
( 2 )A portion of these shares is subject to a right of repurchase held by the Issuer.
( 3 )These shares are held by the Trust. Reporting Person has sole voting, investment and dispositive power over the shares held by the Trust.
( 4 )These shares represent restricted stock units ("RSUs") and will be settled in common stock upon vesting. The RSUs vest on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2020 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.
( 5 )The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of (i) the first anniversary of the grant date or (ii) the date of the 2020 Annual Meeting of the Issuer's stockholders, assuming continuous service as a director until such vesting date.

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* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
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