Hodges Philip

SEC source: 0001705562-26-000002 · form4-05012026_080500.xml · derivative · entry 1

Hodges Philip · CIK 0001705562 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,800

Underlying: Common Stock, par value $0.0001 · 48,800 shares

Expires 2036-05-01

F1 · security: The options were granted pursuant to the Company's non-employee director compensation policy.

F2 · derivative.exercise_date: The shares underlying the option become vested and exercisable in substantially equal monthly installments over the 12 months following May 1, 2026, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001104659-25-094487 · tm2527377-2_4seq1.xml · derivative · entry 1

Hodges Philip · CIK 0001705562 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,800

Underlying: Common Stock, par value $0.0001 · 48,800 shares

Expires 2035-09-25

F1 · derivative.exercise_date: The shares underlying the option become vested and exercisable in substantially equal monthly installments over the 12 months following September 25, 2025, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001104659-24-104442 · tm2425266-6_4seq1.xml · derivative · entry 1

Hodges Philip · CIK 0001705562 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,900

Underlying: Common Stock, par value $0.0001 · 34,900 shares

Expires 2034-09-26

F1 · derivative.exercise_date: The shares underlying the option become vested and exercisable in substantially equal monthly installments over the 12 months following September 26, 2024, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001104659-23-105399 · tm2327241-6_4seq1.xml · derivative · entry 1

Hodges Philip · CIK 0001705562 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,100

Underlying: Common Stock, par value $0.0001 · 26,100 shares

Expires 2033-09-28

F1 · derivative.exercise_date: The shares underlying the option become vested and exercisable in substantially equal monthly installments over the 12 months following September 28, 2023, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001104659-22-104775 · tm2227177-1_4seq1.xml · derivative · entry 1

Hodges Philip · CIK 0001705562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,500

Underlying: Common Stock, par value $0.0001 · 23,500 shares

Expires 2032-09-29

F1 · derivative.exercise_date: The shares underlying the option become vested and exercisable in substantially equal monthly installments over the 12 months following September 29, 2022, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001104659-21-119484 · tm2128463-3_4seq1.xml · derivative · entry 1

Hodges Philip · CIK 0001705562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,100

Underlying: Common Stock, par value $0.0001 · 24,100 shares

Expires 2031-09-23

F1 · derivative.exercise_date: The shares underlying the option become vested and exercisable in substantially equal monthly installments over the 12 months following September 23, 2021, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0000899243-21-008691 · doc4.xml · nonDerivative · entry 1

Hodges Philip · CIK 0001705562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,731

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.68 to $16.56, inclusive. The reporting person undertakes to provide to Altimmune, Inc., any security holder of Altimmune, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0000899243-20-032576 · doc4.xml · nonDerivative · entry 2

Hodges Philip · CIK 0001705562 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.51 to $13.59, inclusive. The reporting person undertakes to provide to Altimmune, Inc., any security holder of Altimmune, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F3 · ownership.nature: The shares of Common Stock are owned directly by Redmont Venture Partners, Inc. The reporting person has sole voting and dispositive control with respect to all securities held by Redmont Venture Partners, Inc. and may be deemed to be the beneficial owner of the securities held by Redmont Venture Partners, Inc. The reporting person disclaims beneficial ownership of the securities held by Redmont Venture Partners, Inc. except to the extent of his pecuniary interest therein.

SEC source: 0000899243-20-032576 · doc4.xml · nonDerivative · entry 1

Hodges Philip · CIK 0001705562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,731

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

SEC source: 0000899243-20-026415 · doc4.xml · derivative · entry 1

Hodges Philip · CIK 0001705562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,500

Underlying: Common Stock, par value $0.0001 · 25,500 shares

Expires 2030-09-24

F1 · derivative.exercise_date: The shares underlying the option become vested and exercisable in substantially equal monthly installments over the 12 months following September 24, 2020, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0000899243-20-028535 · doc4.xml · derivative · entry 2

Hodges Philip · CIK 0001705562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,850 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

F2 · derivative.exercise_date: On June 25, 2020, the reporting person was granted 16,850 restricted stock units, which vested in full at the Company's 2020 annual meeting of stockholders on September 24, 2020.

F2 · derivative.expiration_date: On June 25, 2020, the reporting person was granted 16,850 restricted stock units, which vested in full at the Company's 2020 annual meeting of stockholders on September 24, 2020.

SEC source: 0000899243-20-028535 · doc4.xml · nonDerivative · entry 1

Hodges Philip · CIK 0001705562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,306

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0000899243-20-017833 · doc4.xml · derivative · entry 1

Hodges Philip · CIK 0001705562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,850

Underlying: Common Stock · 16,850 shares

Expires not disclosed

F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Common Stock, par value $0.0001, when vested.

F2 · derivative.exercise_date: The RSUs vest in full at the Company's 2020 annual meeting of stockholders, subject to the reporting person's continued service through the vesting date, and have no expiration date.

F2 · derivative.expiration_date: The RSUs vest in full at the Company's 2020 annual meeting of stockholders, subject to the reporting person's continued service through the vesting date, and have no expiration date.

SEC source: 0001012975-19-000037 · edgar.xml · derivative · entry 1

Hodges Philip · CIK 0001705562 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock, par value $0.0001 · 20,000 shares

Expires 2029-01-02

F1 · derivative.exercise_date: The option becomes vested and exercisable in two equal installments on February 28, 2019 and August 30, 2019, in each case, generally subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001012975-17-000759 · edgar.xml · nonDerivative · entry 1

Hodges Philip · CIK 0001705562 · Director

Redmont VAXN Capital Holdings, LLC · CIK 0001705638 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · kind: Redmont VAXN Capital Holdings, LLC, a Delaware limited liability company ("Redmont VAXN") distributed to its members, pro rata and without consideration, 1,278,471 shares of the Issuer's common stock.

F2 · ownership.nature: Consists of shares of Common Stock held by Redmont VAXN. Philip Hodges has sole voting and dispositive control with respect to all securities held by Redmont VAXN. Philip Hodges disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.

SEC source: 0001012975-17-000759 · edgar.xml · derivative · entry 2

Hodges Philip · CIK 0001705562 · Director

Redmont VAXN Capital Holdings, LLC · CIK 0001705638 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock, par value $0.0001 · 20,000 shares

Expires 2027-10-13

F3 · ownership.direct: Held by Philip Hodges.

SEC source: 0000899243-17-012362 · doc4.xml · nonDerivative · entry 3

Hodges Philip · CIK 0001705562 · Director

Redmont VAXN Capital Holdings, LLC · CIK 0001705638 · 10% owner

Redmont Venture Partners, Inc. · CIK 0001705639 · 10% owner

Paradigm Venture Partners, L.P. · CIK 0001705640 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,455

F1 · price: Acquired pursuant to the Agreement and Plan of Merger, dated as of January 18, 2017 (as amended on March 29, 2017, the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Altimmune, Inc. ("Altimmune"). Pursuant to the Merger Agreement, the then outstanding shares of Altimmune's capital stock was converted into the right to receive a number of shares of the Issuer's common stock, par value $0.0001 on a 0.749106:1 basis upon the closing of the merger.

F4 · ownership.nature: Consists of shares of Common Stock held by Paradigm Venture Partners, L.P., a Delaware limited partnership ("PVP"). Mr. Hodges has sole voting and dispositive control with respect to all securities held by PVP. Mr. Hodges disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-17-012362 · doc4.xml · nonDerivative · entry 2

Hodges Philip · CIK 0001705562 · Director

Redmont VAXN Capital Holdings, LLC · CIK 0001705638 · 10% owner

Redmont Venture Partners, Inc. · CIK 0001705639 · 10% owner

Paradigm Venture Partners, L.P. · CIK 0001705640 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 36,785

F1 · price: Acquired pursuant to the Agreement and Plan of Merger, dated as of January 18, 2017 (as amended on March 29, 2017, the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Altimmune, Inc. ("Altimmune"). Pursuant to the Merger Agreement, the then outstanding shares of Altimmune's capital stock was converted into the right to receive a number of shares of the Issuer's common stock, par value $0.0001 on a 0.749106:1 basis upon the closing of the merger.

F3 · ownership.nature: Consists of shares of Common Stock held by Redmont Venture Partners, Inc., a Delaware corporation ("RVP"). Mr. Hodges has sole voting and dispositive control with respect to all securities held by RVP. Mr. Hodges disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-17-012362 · doc4.xml · nonDerivative · entry 1

Hodges Philip · CIK 0001705562 · Director

Redmont VAXN Capital Holdings, LLC · CIK 0001705638 · 10% owner

Redmont Venture Partners, Inc. · CIK 0001705639 · 10% owner

Paradigm Venture Partners, L.P. · CIK 0001705640 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,278,471

F1 · price: Acquired pursuant to the Agreement and Plan of Merger, dated as of January 18, 2017 (as amended on March 29, 2017, the "Merger Agreement"), pursuant to which a wholly-owned subsidiary of the Issuer merged with and into Altimmune, Inc. ("Altimmune"). Pursuant to the Merger Agreement, the then outstanding shares of Altimmune's capital stock was converted into the right to receive a number of shares of the Issuer's common stock, par value $0.0001 on a 0.749106:1 basis upon the closing of the merger.

F2 · ownership.nature: Consists of shares of Common Stock held by Redmont VAXN Capital Holdings, LLC, a Delaware limited liability company ("RVCH"). Philip Hodges has sole voting and dispositive control with respect to all securities held by RVCH. Mr. Hodges disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.