Altimmune – SEC Filing

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SEC FORM 4 SEC Form 4

FORM 4

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
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Truffle Capital S.A.S.

(Last)

(First)

(Middle)

5, RUE DE LA BAUME

(Street)

PARIS

75008

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
Altimmune, Inc. [ ALT ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

Director	X	10% Owner
Officer (give title below)		Other (specify below)

3. Date of Earliest Transaction (Month/Day/Year)
02/13/2018

4. If Amendment, Date of Original Filed (Month/Day/Year)

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. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	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)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock, par value $0.0001	02/13/2018		J⁽¹⁾		17,789	A	⁽¹⁾	174,944	I	See Footnote⁽²⁾⁽³⁾
Common Stock, par value $0.0001	02/13/2018		J⁽¹⁾		23,719	A	⁽¹⁾	133,207	I	See Footnote⁽²⁾⁽⁴⁾
Common Stock, par value $0.0001	02/13/2018		J⁽¹⁾		17,789	A	⁽¹⁾	72,217	I	See Footnote⁽²⁾⁽⁵⁾
Common Stock, par value $0.0001	02/15/2018		J⁽⁶⁾		4,483	A	⁽⁶⁾	179,427	I	See Footnote⁽²⁾⁽³⁾
Common Stock, par value $0.0001	02/15/2018		J⁽⁶⁾		5,977	A	⁽⁶⁾	139,184	I	See Footnote⁽²⁾⁽⁴⁾
Common Stock, par value $0.0001	02/15/2018		J⁽⁶⁾		4,483	A	⁽⁶⁾	76,700	I	See Footnote⁽²⁾⁽⁵⁾
Common Stock, par value $0.0001								416,043	I	See Footnote⁽²⁾⁽⁷⁾
Common Stock, par value $0.0001								230,103	I	See Footnote⁽²⁾⁽⁸⁾
Common Stock, par value $0.0001								183,690	I	See Footnote⁽²⁾⁽⁹⁾
Common Stock, par value $0.0001								179,359	I	See Footnote⁽²⁾⁽¹⁰⁾
Common Stock, par value $0.0001								151,441	I	See Footnote⁽²⁾⁽¹¹⁾
Common Stock, par value $0.0001								116,654	I	See Footnote⁽²⁾⁽¹²⁾
Common Stock, par value $0.0001								105,804	I	See Footnote⁽²⁾⁽¹³⁾
Common Stock, par value $0.0001								1,774	I	See Footnote⁽²⁾⁽¹⁴⁾
Common Stock, par value $0.0001								1,255	I	See Footnote⁽²⁾⁽¹⁵⁾

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 (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	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 (Month/Day/Year)		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: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Series B Convertible Preferred Stock	$2.67⁽¹⁶⁾	02/13/2018		J⁽¹⁾			22.7661	08/21/2017	08/15/2018	Common Stock, par value $0.0001	8,527	⁽¹⁾	113.8297	I	See Footnote⁽²⁾⁽³⁾
Series B Convertible Preferred Stock	$2.67⁽¹⁶⁾	02/13/2018		J⁽¹⁾			30.3547	08/21/2017	08/15/2018	Common Stock, par value $0.0001	11,369	⁽¹⁾	151.7724	I	See Footnote⁽²⁾⁽⁴⁾
Series B Convertible Preferred Stock	$2.67⁽¹⁶⁾	02/13/2018		J⁽¹⁾			22.7661	08/21/2017	08/15/2018	Common Stock, par value $0.0001	8,527	⁽¹⁾	113.8297	I	See Footnote⁽²⁾⁽⁵⁾

Explanation of Responses:

1. Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.2798 per share of Common Stock.

2. Truffle Capital S.A.S., a French societe par actions simplifiee, is the fund manager for each of the funds listed in the following footnotes and as such manages and controls all voting and dispositive rights to shares held by each such fund. Philippe Pouletty, Bernard-Louis Roques and Henri Moulard may be deemed to possess voting and dispositive control over the shares held by funds managed by Truffle Capital S.A.S. and may be deemed to have indirect beneficial ownership of such shares. Each of these individuals disclaims beneficial ownership of such shares, except with respect to any pecuniary interest therein.

3. Held directly by UFF Innovation 14 FCPI, a FCPI (Fonds Commun de Placement dans l'Innovation), which is a tax efficient French collective investment fund.

4. Held directly by UFF Innovation 15 FCPI, a FCPI.

5. Held directly by Truffle Fortune 4 FCPI, a FCPI.

6. Pursuant to the terms of the Series B Convertible Preferred Stock (the "Preferred Stock"), the Issuer converted the Preferred Stock into shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock") at the installment conversion price of $1.2408 per share of Common Stock.

7. Held directly by UFF Innovation 5 (UFF5) FCPI, a FCPI.

8. Held directly by UFF Innovation 17 FCPI, a FCPI.

9. Held directly by Truffle Cap II (TCII) FCPR, a FCPR (Fonds Commun de Placement a Risque), which is a French venture capital fund for institutional subscribers.

10. Held directly by Truffle Fortune 6 FCPI, a FCPI.

11. Held directly by UFF Innovation 16 FCPI, a FCPI.

12. Held directly by Truffle Fortune 5 FCPI, a FCPI.

13. Held directly by Truffle InnoCroissance 2015 FCPI, a FCPI.

14. Held directly by Europe Innovation 2006 (E106) FCPI, a FCPI.

15. Held directly by Europe Innovation 2004 (E104) FCPI, a FCPI.

16. The Issuer's Preferred Stock is convertible at any time at the option of the holder into shares of the Issuer's Common Stock, subject to certain restrictions, at an initial conversion price of $2.67 per share and a stated amount of $1,000 per share.

Remarks:

	/s/ Ori Solomon, Attorney in fact for Truffle Capital S.A.S.	02/15/2018
	** 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).
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