Initial Statement of Beneficial Ownership (3)
14 May 2022 - 6:34AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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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1. Name and Address of Reporting Person
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Greenberg Bruce |
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/10/2022
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3. Issuer Name and Ticker or Trading Symbol
Aldeyra Therapeutics, Inc. [ALDX]
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(Last)
(First)
(Middle)
C/O ALDEYRA THERAPEUTICS, INC., 131 HARTWELL AVENUE, SUITE 320 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) See Remarks / |
(Street)
LEXINGTON, MA 02421
(City)
(State)
(Zip)
| 5. 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
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 7813 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Employee Stock Option (Right to Buy) | (1) | 12/11/2029 | Common Stock | 45000 | $5.32 | D | |
Employee Stock Option (Right to Buy) | (2) | 3/4/2030 | Common Stock | 20000 | $3.57 | D | |
Employee Stock Option (Right to Buy) | (3) | 3/21/2031 | Common Stock | 58477 | $12.24 | D | |
Employee Stock Option (Right to Buy) | (3) | 4/17/2031 | Common Stock | 29239 | $11.28 | D | |
Employee Stock Option (Right to Buy) | (4) | 3/3/2032 | Common Stock | 100000 | $3.50 | D | |
Employee Stock Option (Right to Buy) | (4) | 3/30/2032 | Common Stock | 73156 | $4.52 | D | |
Explanation of Responses: |
(1) | The shares subject to this option shall vest over 4 years of service following December 12, 2019 with 25% vesting upon completion of 1 year of continuous service to the Issuer and the balance vesting in 36 equal monthly installments thereafter. |
(2) | The shares subject to this option shall vest in equal monthly installments over the next 48 months of continuous service to the Issuer after January 1, 2020. |
(3) | The shares subject to this option shall vest in equal monthly installments over the next 48 months of continuous service to the Issuer after January 1, 2021. |
(4) | The shares subject to this option shall vest in equal monthly installments over the next 48 months of continuous service to the Issuer after January 1, 2022. |
Remarks: Interim Chief Financial Officer |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Greenberg Bruce C/O ALDEYRA THERAPEUTICS, INC. 131 HARTWELL AVENUE, SUITE 320 LEXINGTON, MA 02421 |
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| See Remarks |
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Signatures
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/s/ Bruce Greenberg | | 5/13/2022 |
**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 5(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. |
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