Statement of Changes in Beneficial Ownership (4)
October 13 2016 - 4:15PM
Edgar (US Regulatory)
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 OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Holland David
|
2. Issuer Name
and
Ticker or Trading Symbol
ALIMERA SCIENCES INC
[
ALIM
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
SVP of Sales and Marketing
|
(Last)
(First)
(Middle)
6120 WINDWARD PARKWAY, SUITE 290
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/11/2016
|
(Street)
ALPHARETTA, GA 30005
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. 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
|
10/11/2016
|
|
M
|
|
27971
|
A
|
$1.33
|
134389
|
D
|
|
Common Stock
|
10/11/2016
|
|
F
(1)
|
|
24801
|
D
|
$1.50
|
109588
|
D
|
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. 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
|
7. Title and Amount of Securities Underlying Derivative Security
(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
|
Employee Stock Option (Right to Buy)
|
$1.33
|
10/11/2016
|
|
M
|
|
|
27971
|
(2)
|
10/12/2016
|
Common Stock
|
27971.0
|
$1.33
|
0
|
D
|
|
Explanation of Responses:
|
(
1)
|
Mr. Holland irrevocably agreed to exercise these options through the "net exercise" method on September 2, 2016. Mr. Holland received 3,170 shares of common stock on a net exercise to purchase 27,971 shares of common stock. Mr. Holland forfeited 24,801 shares of common stock underlying the option in payment of the exercise price, using the closing stock price on October 11, 2016 of $1.50.
|
(
2)
|
Became exercisable with respect to one-quarter (1/4) of the shares of stock which are subject to this option on November 22, 2007 (the "Initial Vesting Date") and with respect to the remainder of the shares in equal increments quarterly over three (3) years beginning on the date three (3) months from the Initial Vesting Date.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Holland David
6120 WINDWARD PARKWAY, SUITE 290
ALPHARETTA, GA 30005
|
|
|
SVP of Sales and Marketing
|
|
Signatures
|
/s/ David R. Holland
|
|
10/12/2016
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
|
**
|
Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
|
Alimera Sciences (NASDAQ:ALIM)
Historical Stock Chart
From Apr 2024 to May 2024
Alimera Sciences (NASDAQ:ALIM)
Historical Stock Chart
From May 2023 to May 2024