Filing Details
- Accession Number:
- 0001415889-23-015508
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2023-11-27 18:00:17
- Reporting Period:
- 2023-11-22
- Accepted Time:
- 2023-11-27 18:00:17
- 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 |
|---|---|---|---|---|---|---|---|
| 1168060 | Ralph Niven | C/O Aerovate Therapeutics, Inc. 930 Winter Street, Suite M-500 Waltham MA 02451 | Chief Scientific Officer | 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 | 2023-11-22 | 4,200 | $1.74 | 5,809 | No | 4 | M | Direct | |
| Common Stock | Acquisiton | 2023-11-22 | 9,600 | $2.14 | 15,409 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2023-11-22 | 13,800 | $15.00 | 1,609 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | 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 | 2023-11-22 | 2,700 | $0.00 | 2,700 | $1.74 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2023-11-22 | 1,500 | $0.00 | 1,500 | $1.74 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2023-11-22 | 1,500 | $0.00 | 1,500 | $2.14 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2023-11-22 | 3,600 | $0.00 | 3,600 | $2.14 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2023-11-22 | 4,500 | $0.00 | 4,500 | $2.14 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 16,008 | 2030-09-03 | No | 4 | M | Direct | |
| 10,588 | 2030-09-03 | No | 4 | M | Direct | |
| 12,394 | 2031-04-01 | No | 4 | M | Direct | |
| 38,508 | 2031-04-01 | No | 4 | M | Direct | |
| 46,232 | 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 May 25, 2023.
- A total of 24,108 shares subject to an employee stock option were granted on September 4, 2020, with 25% of this option vested on August 1, 2021, and the remainder vesting in 36 substantially equal monthly installments thereafter.
- A total of 14,488 shares subject to an employee stock option were granted on September 4, 2020, with 25% of this option vested on June 1, 2021, and the remainder vesting in 36 substantially equal monthly installments thereafter.
- A total of 16,294 shares subject to an employee stock option were granted on April 2, 2021, with options vesting in 48 equal monthly installments, with the first installment vested on May 2, 2021.
- A total of 49,908 shares subject to an employee stock option were granted on April 2, 2021, with options vesting in 48 equal monthly installments, with the first installment vested on July 4, 2021.
- A total of 59,732 shares subject to an employee stock option were granted on April 2, 2021, with options vesting in 48 equal monthly installments, with the first installment vested on July 4, 2021.
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