Form 4 for ALMS ALUMIS INC.
Accepted 2024-07-01 00:00:00 ET · period of report 2024-06-27 · accession 0001415889-24-018589 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2024-07-01 | 2024-07-01 | ALMS | Babler Martin | Pres, CEO, COB, Dir | A - Grant | — | +90.8K | 90.8K | New | — |
| DI | 2024-07-01 | 2024-07-01 | ALMS | Babler Martin | Pres, CEO, COB, Dir | D - Sale to Iss | — | -90.8K | 0 | -100% | — |
| DM | 2024-07-01 | 2024-07-01 | ALMS | Babler Martin | Pres, CEO, COB, Dir | D - Sale to Iss | $0.00 | -2.38M | 0 | -100% | $0 |
| DM | 2024-07-01 | 2024-06-27+ | ALMS | Babler Martin | Pres, CEO, COB, Dir | A - Grant | $0.00 | +2.40M | 246.0K | New | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2024-07-01 | A | A | 90,804 | — | 90,804 | I By Trust | — | — | (F1) Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock. (F2) Shares are held directly by Martin Babler revocable trust UAD October 25, 2006, for which Reporting Person serves as a trustee. |
| 2 | Common | Class A Common Stock | 2024-07-01 | D | D | 90,804 | — | 0 | I By Trust | — | — | (F1) Pursuant to a reclassification exempt under Rule 16b-7 and Rule 16b-3, each share of Class A Common Stock was reclassified into one share of voting Common Stock. (F2) Shares are held directly by Martin Babler revocable trust UAD October 25, 2006, for which Reporting Person serves as a trustee. |
| 3 | Derivative | Stock Option (Right to Buy) | 2024-07-01 | D | D | 245,989 | $0.00 | 0 | D | $13.33 · — to 2034-06-05 | 245,989 Class A Common Stock | (F11) 25% of the shares underlying this option vest on June 6, 2025, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and the Reporting Person's continuous service to the Issuer on each such vesting date. |
| 4 | Derivative | Stock Option (Right to Buy) | 2024-07-01 | A | A | 478,288 | $0.00 | 478,288 | D | $10.20 · — to 2034-05-05 | 478,288 Common Stock | (F10) The option vests in three equal installments, subject to the Issuer's satisfaction of certain performance criteria on each of May 6, 2028, May 6, 2029 and May 6, 2030, and subject to acceleration and the Reporting Person's continuous service to the Issuer on each such vesting date. |
| 5 | Derivative | Stock Option (Right to Buy) | 2024-06-27 | A | A | 21,390 | $0.00 | 21,390 | D | $16.00 · — to 2034-06-26 | 21,390 Class A Common Stock | (F3) 25% of the shares underlying this option vest on June 21, 2025, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and the Reporting Person's continuous service to the Issuer on each such vesting date. |
| 6 | Derivative | Stock Option (Right to Buy) | 2024-07-01 | D | D | 21,390 | $0.00 | 0 | D | $16.00 · — to 2034-06-26 | 21,390 Class A Common Stock | (F3) 25% of the shares underlying this option vest on June 21, 2025, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and the Reporting Person's continuous service to the Issuer on each such vesting date. |
| 7 | Derivative | Stock Option (Right to Buy) | 2024-07-01 | A | A | 21,390 | $0.00 | 21,390 | D | $16.00 · — to 2034-06-26 | 21,390 Common Stock | (F3) 25% of the shares underlying this option vest on June 21, 2025, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and the Reporting Person's continuous service to the Issuer on each such vesting date. |
| 8 | Derivative | Stock Option (Right to Buy) | 2024-07-01 | D | D | 380,852 | $0.00 | 0 | D | $3.84 · — to 2031-09-14 | 380,852 Class A Common Stock | (F4) 25% of the shares underlying this option vested on September 15, 2022, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and subject to the Reporting Person's continuous service to the Issuer on each such vesting date. This option was originally granted in the amount of 3,000,000 shares and was subsequently partially exercised for 1,219,513 shares on October 22, 2021. |
| 9 | Derivative | Stock Option (Right to Buy) | 2024-07-01 | A | A | 380,852 | $0.00 | 380,852 | D | $3.84 · — to 2031-09-14 | 380,852 Common Stock | (F4) 25% of the shares underlying this option vested on September 15, 2022, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and subject to the Reporting Person's continuous service to the Issuer on each such vesting date. This option was originally granted in the amount of 3,000,000 shares and was subsequently partially exercised for 1,219,513 shares on October 22, 2021. |
| 10 | Derivative | Stock Option (Right to Buy) | 2024-07-01 | D | D | 106,951 | $0.00 | 0 | D | $8.84 · — to 2032-01-26 | 106,951 Class A Common Stock | (F5) 25% of the shares underlying this option vested on January 27, 2023, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and subject to the Reporting Person's continuous service to the Issuer on each such vesting date. |
| 11 | Derivative | Stock Option (Right to Buy) | 2024-07-01 | A | A | 106,951 | $0.00 | 106,951 | D | $8.84 · — to 2032-01-26 | 106,951 Common Stock | (F5) 25% of the shares underlying this option vested on January 27, 2023, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and subject to the Reporting Person's continuous service to the Issuer on each such vesting date. |
| 12 | Derivative | Stock Option (Right to Buy) | 2024-07-01 | D | D | 534,759 | $0.00 | 0 | D | $8.84 · — to 2032-01-26 | 534,759 Class A Common Stock | (F6) 33% of the shares underlying this option vested on January 27, 2024, and the remaining shares vest in equal monthly installments thereafter over the following 48 months, subject to acceleration and subject to the Reporting Person's continuous service to the Issuer on each such vesting date. |
| 13 | Derivative | Stock Option (Right to Buy) | 2024-07-01 | A | A | 534,759 | $0.00 | 534,759 | D | $8.84 · — to 2032-01-26 | 534,759 Common Stock | (F6) 33% of the shares underlying this option vested on January 27, 2024, and the remaining shares vest in equal monthly installments thereafter over the following 48 months, subject to acceleration and subject to the Reporting Person's continuous service to the Issuer on each such vesting date. |
| 14 | Derivative | Stock Option (Right to Buy) | 2024-07-01 | D | D | 263,101 | $0.00 | 0 | D | $8.84 · — to 2033-06-22 | 263,101 Class A Common Stock | (F7) 25% of the shares underlying this option vested on May 22, 2024, and the remaining shares vest n equal monthly installments thereafter over the following 36 months, subject to acceleration and subject to the Reporting Person's continuous service to the Issuer on each such vesting date. |
| 15 | Derivative | Stock Option (Right to Buy) | 2024-07-01 | A | A | 263,101 | $0.00 | 263,101 | D | $8.84 · — to 2033-06-22 | 263,101 Common Stock | (F7) 25% of the shares underlying this option vested on May 22, 2024, and the remaining shares vest n equal monthly installments thereafter over the following 36 months, subject to acceleration and subject to the Reporting Person's continuous service to the Issuer on each such vesting date. |
| 16 | Derivative | Stock Option (Right to Buy) | 2024-07-01 | D | D | 107,028 | $0.00 | 0 | D | $8.84 · — to 2033-10-08 | 107,028 Class A Common Stock | (F8) 25% of the shares underlying this option vest on October 9, 2024, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and subject to the Reporting Person's continuous service to the Issuer on each such vesting date. |
| 17 | Derivative | Stock Option (Right to Buy) | 2024-07-01 | A | A | 107,028 | $0.00 | 107,028 | D | $8.84 · — to 2033-10-08 | 107,028 Common Stock | (F8) 25% of the shares underlying this option vest on October 9, 2024, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and subject to the Reporting Person's continuous service to the Issuer on each such vesting date. |
| 18 | Derivative | Stock Option (Right to Buy) | 2024-07-01 | D | D | 241,210 | $0.00 | 0 | D | $8.84 · — to 2034-03-28 | 241,210 Class A Common Stock | (F9) 25% of the shares underlying this option vest on March 29, 2025, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and subject to the Reporting Person's continuous service to the Issuer on each such vesting date. |
| 19 | Derivative | Stock Option (Right to Buy) | 2024-07-01 | A | A | 241,210 | $0.00 | 241,210 | D | $8.84 · — to 2034-03-28 | 241,210 Common Stock | (F9) 25% of the shares underlying this option vest on March 29, 2025, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and subject to the Reporting Person's continuous service to the Issuer on each such vesting date. |
| 20 | Derivative | Stock Option (Right to Buy) | 2024-07-01 | D | D | 478,288 | $0.00 | 0 | D | $10.20 · — to 2034-05-05 | 478,288 Class A Common Stock | (F10) The option vests in three equal installments, subject to the Issuer's satisfaction of certain performance criteria on each of May 6, 2028, May 6, 2029 and May 6, 2030, and subject to acceleration and the Reporting Person's continuous service to the Issuer on each such vesting date. |
| 21 | Derivative | Stock Option (Right to Buy) | 2024-07-01 | A | A | 245,989 | $0.00 | 245,989 | D | $13.33 · — to 2034-06-05 | 245,989 Common Stock | (F11) 25% of the shares underlying this option vest on June 6, 2025, and the remaining shares vest in equal monthly installments thereafter over the following 36 months, subject to acceleration and the Reporting Person's continuous service to the Issuer on each such vesting date. |