Filing Details
- Accession Number:
- 0001415889-22-012508
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2022-12-13 18:00:12
- Reporting Period:
- 2022-12-09
- Accepted Time:
- 2022-12-13 18:00:12
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1798749 | Aerovate Therapeutics Inc. | AVTE | () | 4 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1413006 | A George Eldridge | C/O Aerovate Therapeutics, Inc. 930 Winter Street, Suite M-500 Waltham MA 02451 | See Remarks | No | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2022-12-09 | 3,969 | $2.14 | 5,929 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-12-09 | 3,386 | $24.23 | 2,543 | No | 4 | S | Direct | |
| Common Stock | Disposition | 2022-12-09 | 583 | $25.23 | 1,960 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2022-12-12 | 10,000 | $2.14 | 11,960 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2022-12-12 | 10,000 | $30.04 | 1,960 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2022-12-09 | 3,969 | $0.00 | 3,969 | $2.14 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2022-12-12 | 7,094 | $0.00 | 7,094 | $2.14 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2022-12-12 | 2,906 | $0.00 | 2,906 | $2.14 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 36,757 | 2031-04-01 | No | 4 | M | Direct | |
| 29,663 | 2031-04-01 | No | 4 | M | Direct | |
| 79,863 | 2031-04-01 | No | 4 | M | Direct |
Footnotes
- This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 15, 2022.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $24.00 to $25.00, inclusive. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $25.01 to $25.41, inclusive. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
- The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $30.00 to $30.39, inclusive. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.
- A total of 50,850 shares subject to an employee stock option were granted on April 2, 2021, with 25% of this option vested on March 22, 2022, and the remainder vesting in 36 substantially equal monthly installments thereafter.
- A total of 98,676 shares subject to an employee stock option were granted on April 2, 2021, with 25% of this option vested on June 4, 2022, and the remainder vesting in 36 substantially equal monthly installments thereafter.
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