| Accession Number: | 0001104659-23-009975 |
| Date: | 2023-01-31 |
| Issuer: | ALTIMMUNE, INC. (ALT) |
| Original Submission Date: |
ROBERTS M SCOT
C/O ALTIMMUNE, INC., 910 CLOPPER ROAD,
SUITE 201S
GAITHERSBURG, MD 20878
| Title of Security | Transaction Date | 2a. Deemed Execution Date | Transaction Code | Shares | Acquired or Disposed | Price per share | 5. Amount of Securities Beneficially Owned Following Reported Transaction | 6. Ownership Form Direct or Indirect | Nature of Indirect Ownership |
|---|---|---|---|---|---|---|---|---|---|
| COMMON STOCK, PAR VALUE $0.0001 | 2023-01-31 | A | 1,436 | a | $10.21 | 10,473 | direct | ||
| COMMON STOCK, PAR VALUE $0.0001 | 2023-02-01 | M | 6,166 | a | $0.00 | 16,639 | direct | ||
| COMMON STOCK, PAR VALUE $0.0001 | 2023-02-01 | F | 2,183 | d | $13.78 | 14,456 | direct | ||
| COMMON STOCK, PAR VALUE $0.0001 | 2023-01-31 | 0 | $0.00 | 15 | indirect |
| Title of Derivative Security | Conversion or Exercise Price of Derivative Security | Transaction Date | Deemed Execution Date | Transaction Code | Number of Derivative Securities Acquired (A) or Disposed of (D) | Date Exercisable | Expiration Date | Title and Amount of Securities Underlying Derivative Security | Price of Derivative Security | Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | Ownership Form: Direct (D) or Indirect (I) | Nature of Indirect Beneficial Ownership |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| RESTRICTED STOCK UNITS | 0.0 | 2023-02-01 | deemed execution date | M | 6,166 (d) | common stock, par value $0.0001 6,166 | $0.00 | 12,332 | direct |
| ID | footnote |
|---|---|
| f1 | these shares were purchased due to participation by the reporting individual in the issuer's 2019 employee stock purchase plan ("espp"). it pertains to the espp purchase period from august 1, 2022 through january 31, 2023. |
| f2 | in accordance with the espp, these shares were purchased based on 85% of the opening price of the issuer's common stock on august 1, 2022. |
| f3 | each restricted stock unit ("rsu") represents a contingent right to receive one share of common stock, par value $0.0001, when vested. |
| f4 | vesting transaction: shares surrendered to the issuer solely to cover taxes associated with vesting of rsus. |
| f5 | the rsus become vested in substantially equal annual installments over the 4 years following february 1, 2021, subject to the reporting person's continued service through the applicable vesting date, and have no expiration date. |
