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 <P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P>
<P STYLE="line-height:3.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1px solid #000000">&nbsp;</P> <P STYLE="margin-top:4pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>UNITED STATES </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>SECURITIES AND EXCHANGE COMMISSION </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Washington, D.C. 20549 </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:18pt; font-family:Times New Roman" ALIGN="center"><B>FORM <FONT
STYLE="white-space:nowrap">8-K</FONT> </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>CURRENT
REPORT </B></P> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Pursuant to Section&nbsp;13 or 15(d) of the </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Securities Exchange Act of 1934 </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:12pt; font-family:Times New Roman" ALIGN="center"><B>Date of Report (Date of earliest event reported): January&nbsp;3, 2019 </B></P>
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<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:24pt; font-family:Times New Roman" ALIGN="center"><B>AIMMUNE THERAPEUTICS, INC. </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>(Exact name of registrant as specified in its charter) </B></P> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P><center>
<P STYLE="line-height:6.0pt;margin-top:0pt;margin-bottom:2pt;border-bottom:1.00pt solid #000000;width:21%">&nbsp;</P></center> <P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="top" ALIGN="center"><B>Delaware</B></TD>
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<TD VALIGN="top" ALIGN="center"><B><FONT STYLE="white-space:nowrap">001-37519</FONT></B></TD>
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<TD VALIGN="top" ALIGN="center"><B><FONT STYLE="white-space:nowrap">45-2748244</FONT></B></TD></TR>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(State or other jurisdiction</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>of incorporation)</B></P></TD>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Commission</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>File Number)</B></P></TD>
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<TD VALIGN="top" ALIGN="center"> <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(IRS Employer</B></P>
<P STYLE="margin-top:0pt; margin-bottom:1pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>Identification Number)</B></P></TD></TR>
</TABLE> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>8000 Marina Blvd, Suite 300 </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Brisbane, CA 94005 </B></P>
<P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:8pt; font-family:Times New Roman" ALIGN="center"><B>(Address of principal executive offices, including Zip Code) </B></P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman" ALIGN="center"><B>Registrant&#146;s telephone number, including area code: (650) <FONT STYLE="white-space:nowrap">614-5220</FONT> </B></P>
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the registrant under any of the following provisions (see General Instructions A.2. below): </P> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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CFR <FONT STYLE="white-space:nowrap">240.14a-12)</FONT> </P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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STYLE="white-space:nowrap">14d-2(b)</FONT> under the Exchange Act (17 CFR <FONT STYLE="white-space:nowrap">240.14d-2(b))</FONT> </P></TD></TR></TABLE> <P STYLE="font-size:6pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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STYLE="white-space:nowrap">13e-4(c)</FONT> under the Exchange Act (17 CFR <FONT STYLE="white-space:nowrap">240.13e-4(c))</FONT> </P></TD></TR></TABLE>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (&#167;&nbsp;230.405 of this
chapter) or Rule <FONT STYLE="white-space:nowrap">12b-2</FONT> of the Securities Exchange Act of 1934 <FONT STYLE="white-space:nowrap">(&#167;&nbsp;240.12b-2</FONT> of this chapter). </P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Emerging growth company&nbsp;&nbsp;&#9744; </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">If an emerging
growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section&nbsp;13(a) of the Exchange
Act.&nbsp;&nbsp;&#9744; </P> <P STYLE="font-size:10pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P> <P STYLE="line-height:1.0pt;margin-top:0pt;margin-bottom:0pt;border-bottom:1px solid #000000">&nbsp;</P>
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<TD WIDTH="10%" VALIGN="top" ALIGN="left"><B>Item&nbsp;1.01</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Entry Into a Material Definitive Agreement. </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">On January&nbsp;3, 2019, Aimmune Therapeutics, Inc. (the &#147;Company&#148;) entered into a Credit Agreement (the &#147;Agreement&#148;) with KKR Peanut
Aggregator L.P., an affiliate of KKR LLC (together with the several banks and other financial institutions from time to time party to the Agreement, collectively, the &#147;Lenders&#148;) and Cortland Capital Market Services LLC , as the
administrative agent and the collateral agent (the &#147;Agent&#148;). The Agreement consists of a <FONT STYLE="white-space:nowrap">six-year</FONT> term loan facility for an up to aggregate principal amount of $170.0&nbsp;million (the &#147;Term
Loans&#148;). The Agreement provides for an initial Term Loan of $40.0&nbsp;million, which was funded on January&nbsp;4, 2019 (the &#147;Closing Date&#148;). Subject to the fulfillment of certain customary conditions precedent, including the
issuance of an approval letter by the FDA with respect to a Biologic License Application for AR101 on or prior to December&nbsp;31, 2020 (&#147;Regulatory Approval&#148;), the Company must draw an additional $85.0&nbsp;million of the Term Loans. At
the Company&#146;s option and, subject to the fulfillment of customary conditions precedent, including the Company&#146;s achievement of aggregate net sales (as defined in the Agreement) for AR101 by July&nbsp;31, 2020 in an amount of at least
$30.0&nbsp;million, the Company may draw the remaining $45.0&nbsp;million of the Term Loans. The Term Loans under the Agreement bear interest through maturity, at the Company&#146;s election, with respect to (a)&nbsp;ABR Loans, 6.50% per annum and
(b)&nbsp;LIBOR Loans, 7.50% per annum. The Company will begin paying accrued interest on outstanding Term Loans on March&nbsp;31, 2019, and on the last Business Day of each March, June, September and December thereafter while any Term Loan is
outstanding, as well as on the final maturity date of the Term Loans (each such date, an &#147;Interest Payment Date&#148;). For each Interest Payment Date until and including the fiscal quarter ending June&nbsp;30, 2020, the Company has the option
to elect whether the interest payments due on such Interest Payment Date shall be paid in cash or paid in kind and capitalized. The Company has selected to pay in kind and have the interest capitalized for the fiscal quarter ending March&nbsp;31,
2019. </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Principal payments on the Term Loans are paid according to the following schedule: (i)&nbsp;on December&nbsp;31, 2023, 50.0% of the outstanding
principal amount of the Term Loans as of such date, including any capitalized interest, (ii)&nbsp;on each Interest Payment Date thereafter, 12.5% of the outstanding principal amount of the Term Loans as of December&nbsp;31, 2023 and (iii)&nbsp;on
January&nbsp;3, 2025 (the &#147;Maturity Date&#148;), any remaining outstanding balance of the Term Loans. The Company is also required to make mandatory prepayments of the Term Loans under the Agreement, subject to specified exceptions, with the
proceeds of asset sales, debt issuances, royalty transactions, collaboration transactions, and specified other events. In addition, upon the occurrence of a change of control, the Company must prepay, the outstanding amount of the Term Loans. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">If all or any of the Term Loans are prepaid or required to be prepaid under the Agreement, then the Company shall pay, in addition to such prepayment, a
prepayment premium (the &#147;Prepayment Premium&#148;) equal to (i)&nbsp;with respect to any such prepayment paid on or prior to January&nbsp;3, 2021, the amount, if any, by which (a)&nbsp;the present value as of such date of determination of (x)
105.00% of the principal amount of the Term Loans prepaid plus (y)&nbsp;all required interest payments that would have been due on the principal amount of the Term Loans prepaid through and including January&nbsp;3, 2021, computed using a discount
rate equal to the treasury rate most nearly equal to the period from such date of prepayment to January&nbsp;3, 2021 plus 50 basis points exceeds (b)&nbsp;the principal amount of the Term Loans prepaid, (ii)&nbsp;with respect to any prepayment paid
or required to be paid after January&nbsp;3, 2021 but on or prior to January&nbsp;3, 2022, 5.00% of the principal amount of the Term Loans prepaid, (iii)&nbsp;with respect to any prepayment paid or required to be paid after January&nbsp;3, 2022 but
on or prior to January&nbsp;3, 2023, 2.00% of the principal amount of the Term Loans prepaid and (iv)&nbsp;with respect to any prepayment paid or required to be prepaid thereafter, 0.00% of the principal amount of the Term Loans prepaid. If the
Company receives Regulatory Approval, the Company must pay on the earlier of (i)&nbsp;the date on which commitments have been terminated and no Term Loans are outstanding and (ii)&nbsp;the Interest Payment Date falling in the first full fiscal
quarter after receipt of Regulatory Approval, a premium in an amount equal to $3.4&nbsp;million and the Prepayment Premium for such date on a principal amount equal to $85.0&nbsp;million. The premium with respect to the Regulatory Approval described
in the immediately preceding sentence is not due if the Company draws the additional (after the first $40.00&nbsp;million on the Closing Date) $85.0&nbsp;million of the Term Loans. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Upon the prepayment or repayment of all or any of the Term Loans, the Company shall pay an additional (in addition to the Prepayment Premium) exit fee in an
amount equal to 4.00% of the principal amount of the Term Loans prepaid or repaid. In addition, the Company paid certain customary fees and expenses to the Agent and other service providers on the Closing Date. </P>
<P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The obligations under the Agreement are secured by a lien on substantially all of the Company&#146;s tangible and intangible property. The Agreement contains
certain affirmative covenants, negative covenants and events of default, including, covenants and restrictions that among other things, require the Company and its subsidiary guarantors to satisfy a minimum cash balance covenant and restricts the
ability of the Company and its subsidiary&#146;s ability to, incur liens, incur additional indebtedness, make loans and investments, engage in mergers and acquisitions, engage in asset sales or sale and leaseback transactions, and declare dividends
or redeem or repurchase capital stock. A failure to comply with these covenants could permit the Lenders under the Agreement to declare the Term Loans, together with accrued interest and fees, to be immediately due and payable. </P>
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 <P STYLE="margin-top:0pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The foregoing description of the material terms of the Agreement does not purport to be complete and is
subject to, and is qualified in its entirety by, reference to the Agreement, which will be filed as an exhibit to the Company&#146;s Annual Report on Form <FONT STYLE="white-space:nowrap">10-K</FONT> for the year ending December&nbsp;31, 2018 and is
incorporated by reference herein. </P> <P STYLE="font-size:18pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="10%" VALIGN="top" ALIGN="left"><B>Item&nbsp;2.03.</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Creation of a Direct Financial Obligation or an Obligation under an
<FONT STYLE="white-space:nowrap">Off-Balance</FONT> Sheet Arrangement of a Registrant. </B></P></TD></TR></TABLE> <P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The information set forth in Item 1.01 of
this Current Report on Form <FONT STYLE="white-space:nowrap">8-K</FONT> relating to the Credit Agreement is incorporated by reference into this Item 2.03. </P> <P STYLE="font-size:18pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="10%" VALIGN="top" ALIGN="left"><B>Item&nbsp;7.01.</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Regulation FD Disclosure. </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">On January&nbsp;4, 2019, the Company issued a press release announcing the execution of the Credit Agreement. A copy of the press release is furnished as
Exhibit 99.1 to this Current Report on Form <FONT STYLE="white-space:nowrap">8-K.</FONT> </P> <P STYLE="margin-top:12pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The information in this Item 7.01 of this Current Report on Form
<FONT STYLE="white-space:nowrap">8-K</FONT> (including Exhibit 99.1) shall not be deemed &#147;filed&#148; for purposes of Section&nbsp;18 of the Securities Exchange Act of 1934, as amended (the &#147;Exchange Act&#148;), or otherwise subject to the
liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as expressly set forth by specific reference in such a filing. </P>
<P STYLE="font-size:18pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="10%" VALIGN="top" ALIGN="left"><B>Item&nbsp;8.01.</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Other Events. </B></P></TD></TR></TABLE>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">The Company expects that, following its entry into the Credit Agreement, the addition of the full Term Loans of $170.0&nbsp;million (assuming the satisfaction
of closing conditions for each subsequent tranche of the Agreement) to its existing cash, cash equivalents and short-term investments, will enable the Company to fully fund the commercialization of AR101 for the treatment of peanut allergy. The
Company has based this estimate on assumptions that may prove to be wrong, and it could use its capital resources sooner than it currently expects. </P> <P STYLE="font-size:18pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD WIDTH="10%" VALIGN="top" ALIGN="left"><B>Item&nbsp;9.01</B></TD>
<TD ALIGN="left" VALIGN="top"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman; " ALIGN="left"><B>Financial Statements and Exhibits. </B></P></TD></TR></TABLE>
<P STYLE="font-size:12pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="bottom" NOWRAP ALIGN="center"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; display:table-cell; font-size:8pt; font-family:Times New Roman; " ALIGN="center"><B>Exhibit&nbsp;No.</B></P></TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="bottom" NOWRAP ALIGN="center"> <P STYLE=" margin-top:0pt ; margin-bottom:0pt; border-bottom:1.00pt solid #000000; display:table-cell; font-size:8pt; font-family:Times New Roman; " ALIGN="center"><B>Description</B></P></TD></TR>


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<TD VALIGN="top" NOWRAP>99.1</TD>
<TD VALIGN="bottom">&nbsp;&nbsp;</TD>
<TD VALIGN="top"><A HREF="d682851dex991.htm">Press release titled &#147;Aimmune Therapeutics and KKR Enter into $170M Loan Agreement to Fund AR101 Commercialization and Pipeline Advancement.&#148; </A></TD></TR>
</TABLE> <P STYLE="margin-top:18pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman"><B>Forward-Looking Statements </B></P>
<P STYLE="margin-top:6pt; margin-bottom:0pt; font-size:10pt; font-family:Times New Roman">Any statements contained in this Form <FONT STYLE="white-space:nowrap">8-K</FONT> regarding matters that are not historical facts are &#147;forward-looking
statements&#148; within the meaning of the Private Securities Litigation Reform Act of 1995. Because such statements are subject to risks and uncertainties, actual results may differ materially from those expressed or implied by such forward-looking
statements. Such statements include, but are not limited to, statements regarding: the Company&#146;s expectations regarding the timing and availability of the full amount of proceeds under the loan agreement; the Company&#146;s expectations
regarding the sufficiency of its cash resources; the Company&#146;s expectations regarding the potential benefits of AR101; the Company&#146;s expectations regarding the potential commercialization of AR101, including the timing of a potential
approval of AR101. Risks and uncertainties that contribute to the uncertain nature of the forward-looking statements include: the satisfaction of closing conditions for each subsequent tranche of the loan agreement; the expectation that the Company
will need additional funds to finance its operations; the unpredictability of the regulatory process; the Company&#146;s reliance on third parties for the manufacture of its product candidates; possible regulatory developments in the United States
and foreign countries; and the Company&#146;s ability to attract and retain senior management personnel. These and other risks and uncertainties are described more fully in the Company&#146;s most recent filings with the Securities and Exchange
Commission, including its Quarterly Report on Form <FONT STYLE="white-space:nowrap">10-Q</FONT> for the quarter ended September&nbsp;30, 2018. All forward-looking statements contained in this Form <FONT STYLE="white-space:nowrap">8-K</FONT> speak
only as of the date on which they were made. These forward-looking statements should not be relied upon as representing the Company&#146;s views as of any date subsequent to the date of this Form <FONT STYLE="white-space:nowrap">8-K</FONT> The
Company undertakes no obligation to update such statements to reflect events that occur or circumstances that exist after the date on which they were made. </P>
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<P STYLE="margin-top:12pt; margin-bottom:0pt; text-indent:4%; font-size:10pt; font-family:Times New Roman">Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on
its behalf by the undersigned hereunto duly authorized. </P> <P STYLE="font-size:18pt;margin-top:0pt;margin-bottom:0pt">&nbsp;</P>
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<TD VALIGN="top" COLSPAN="3"><B>AIMMUNE THERAPEUTICS, INC.</B></TD></TR>
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<TD VALIGN="top">Date: January&nbsp;4, 2019</TD>
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<TD VALIGN="top">By:</TD>
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<TD VALIGN="top" STYLE="BORDER-BOTTOM:1px solid #000000">/s/ Douglas T. Sheehy</TD></TR>
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<TD VALIGN="top"><B>Douglas T. Sheehy</B></TD></TR>
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<TD VALIGN="top"><B>General Counsel and Secretary</B></TD></TR>
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{"company-data": {"conformed-name": "Aimmune Therapeutics, Inc.", "cik": "0001631650", "assigned-sic": "2834", "irs-number": "452748244", "state-of-incorporation": "DE", "fiscal-year-end": "1231"}, "filing-values": {"form-type": "8-K", "act": "34", "file-number": "001-37519", "film-number": "19509907"}, "business-address": {"street1": "8000 MARINA BOULEVARD", "street2": "SUITE 300", "city": "BRISBANE", "state": "CA", "zip": "94005-1884", "phone": "(650) 614-5220"}, "mail-address": {"street1": "8000 MARINA BOULEVARD", "street2": "SUITE 300", "city": "BRISBANE", "state": "CA", "zip": "94005-1884"}, "former-company": {"former-conformed-name": "Allergen Research Corp", "date-changed": "20150123"}}
8-K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): January 3, 2019
AIMMUNE THERAPEUTICS, INC.
(Exact name of registrant as specified in its charter)
Delaware
001-37519
45-2748244
(State or other jurisdiction
of incorporation)
(Commission
File Number)
(IRS Employer
Identification Number)
8000 Marina Blvd, Suite 300
Brisbane, CA 94005
(Address of principal executive offices, including Zip Code)
Registrant's telephone number, including area code: (650)
614-5220
Check the appropriate box below if the Form
8-K
filing is intended to simultaneously satisfy the filing obligation of
the registrant under any of the following provisions (see General Instructions A.2. below):
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐
Soliciting material pursuant to Rule
14a-12
under the Exchange Act (17
CFR
240.14a-12)
☐
Pre-commencement
communications pursuant to Rule
14d-2(b)
under the Exchange Act (17 CFR
240.14d-2(b))
☐
Pre-commencement
communications pursuant to Rule
13e-4(c)
under the Exchange Act (17 CFR
240.13e-4(c))
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this
chapter) or Rule
12b-2
of the Securities Exchange Act of 1934
(§ 240.12b-2
of this chapter).
Emerging growth company  ☐
If an emerging
growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange
Act.  ☐
Item 1.01
Entry Into a Material Definitive Agreement.
On January 3, 2019, Aimmune Therapeutics, Inc. (the "Company") entered into a Credit Agreement (the "Agreement") with KKR Peanut
Aggregator L.P., an affiliate of KKR LLC (together with the several banks and other financial institutions from time to time party to the Agreement, collectively, the "Lenders") and Cortland Capital Market Services LLC , as the
administrative agent and the collateral agent (the "Agent"). The Agreement consists of a
six-year
term loan facility for an up to aggregate principal amount of $170.0 million (the "Term
Loans"). The Agreement provides for an initial Term Loan of $40.0 million, which was funded on January 4, 2019 (the "Closing Date"). Subject to the fulfillment of certain customary conditions precedent, including the
issuance of an approval letter by the FDA with respect to a Biologic License Application for AR101 on or prior to December 31, 2020 ("Regulatory Approval"), the Company must draw an additional $85.0 million of the Term Loans. At
the Company's option and, subject to the fulfillment of customary conditions precedent, including the Company's achievement of aggregate net sales (as defined in the Agreement) for AR101 by July 31, 2020 in an amount of at least
$30.0 million, the Company may draw the remaining $45.0 million of the Term Loans. The Term Loans under the Agreement bear interest through maturity, at the Company's election, with respect to (a) ABR Loans, 6.50% per annum and
(b) LIBOR Loans, 7.50% per annum. The Company will begin paying accrued interest on outstanding Term Loans on March 31, 2019, and on the last Business Day of each March, June, September and December thereafter while any Term Loan is
outstanding, as well as on the final maturity date of the Term Loans (each such date, an "Interest Payment Date"). For each Interest Payment Date until and including the fiscal quarter ending June 30, 2020, the Company has the option
to elect whether the interest payments due on such Interest Payment Date shall be paid in cash or paid in kind and capitalized. The Company has selected to pay in kind and have the interest capitalized for the fiscal quarter ending March 31,
2019.
Principal payments on the Term Loans are paid according to the following schedule: (i) on December 31, 2023, 50.0% of the outstanding
principal amount of the Term Loans as of such date, including any capitalized interest, (ii) on each Interest Payment Date thereafter, 12.5% of the outstanding principal amount of the Term Loans as of December 31, 2023 and (iii) on
January 3, 2025 (the "Maturity Date"), any remaining outstanding balance of the Term Loans. The Company is also required to make mandatory prepayments of the Term Loans under the Agreement, subject to specified exceptions, with the
proceeds of asset sales, debt issuances, royalty transactions, collaboration transactions, and specified other events. In addition, upon the occurrence of a change of control, the Company must prepay, the outstanding amount of the Term Loans.
If all or any of the Term Loans are prepaid or required to be prepaid under the Agreement, then the Company shall pay, in addition to such prepayment, a
prepayment premium (the "Prepayment Premium") equal to (i) with respect to any such prepayment paid on or prior to January 3, 2021, the amount, if any, by which (a) the present value as of such date of determination of (x)
105.00% of the principal amount of the Term Loans prepaid plus (y) all required interest payments that would have been due on the principal amount of the Term Loans prepaid through and including January 3, 2021, computed using a discount
rate equal to the treasury rate most nearly equal to the period from such date of prepayment to January 3, 2021 plus 50 basis points exceeds (b) the principal amount of the Term Loans prepaid, (ii) with respect to any prepayment paid
or required to be paid after January 3, 2021 but on or prior to January 3, 2022, 5.00% of the principal amount of the Term Loans prepaid, (iii) with respect to any prepayment paid or required to be paid after January 3, 2022 but
on or prior to January 3, 2023, 2.00% of the principal amount of the Term Loans prepaid and (iv) with respect to any prepayment paid or required to be prepaid thereafter, 0.00% of the principal amount of the Term Loans prepaid. If the
Company receives Regulatory Approval, the Company must pay on the earlier of (i) the date on which commitments have been terminated and no Term Loans are outstanding and (ii) the Interest Payment Date falling in the first full fiscal
quarter after receipt of Regulatory Approval, a premium in an amount equal to $3.4 million and the Prepayment Premium for such date on a principal amount equal to $85.0 million. The premium with respect to the Regulatory Approval described
in the immediately preceding sentence is not due if the Company draws the additional (after the first $40.00 million on the Closing Date) $85.0 million of the Term Loans.
Upon the prepayment or repayment of all or any of the Term Loans, the Company shall pay an additional (in addition to the Prepayment Premium) exit fee in an
amount equal to 4.00% of the principal amount of the Term Loans prepaid or repaid. In addition, the Company paid certain customary fees and expenses to the Agent and other service providers on the Closing Date.
The obligations under the Agreement are secured by a lien on substantially all of the Company's tangible and intangible property. The Agreement contains
certain affirmative covenants, negative covenants and events of default, including, covenants and restrictions that among other things, require the Company and its subsidiary guarantors to satisfy a minimum cash balance covenant and restricts the
ability of the Company and its subsidiary's ability to, incur liens, incur additional indebtedness, make loans and investments, engage in mergers and acquisitions, engage in asset sales or sale and leaseback transactions, and declare dividends
or redeem or repurchase capital stock. A failure to comply with these covenants could permit the Lenders under the Agreement to declare the Term Loans, together with accrued interest and fees, to be immediately due and payable.
The foregoing description of the material terms of the Agreement does not purport to be complete and is
subject to, and is qualified in its entirety by, reference to the Agreement, which will be filed as an exhibit to the Company's Annual Report on Form
10-K
for the year ending December 31, 2018 and is
incorporated by reference herein.
Item 2.03.
Creation of a Direct Financial Obligation or an Obligation under an
Off-Balance
Sheet Arrangement of a Registrant.
The information set forth in Item 1.01 of
this Current Report on Form
8-K
relating to the Credit Agreement is incorporated by reference into this Item 2.03.
Item 7.01.
Regulation FD Disclosure.
On January 4, 2019, the Company issued a press release announcing the execution of the Credit Agreement. A copy of the press release is furnished as
Exhibit 99.1 to this Current Report on Form
8-K.
The information in this Item 7.01 of this Current Report on Form
8-K
(including Exhibit 99.1) shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise subject to the
liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as expressly set forth by specific reference in such a filing.
Item 8.01.
Other Events.
The Company expects that, following its entry into the Credit Agreement, the addition of the full Term Loans of $170.0 million (assuming the satisfaction
of closing conditions for each subsequent tranche of the Agreement) to its existing cash, cash equivalents and short-term investments, will enable the Company to fully fund the commercialization of AR101 for the treatment of peanut allergy. The
Company has based this estimate on assumptions that may prove to be wrong, and it could use its capital resources sooner than it currently expects.
Item 9.01
Financial Statements and Exhibits.
Exhibit No.
Description
99.1
Press release titled "Aimmune Therapeutics and KKR Enter into $170M Loan Agreement to Fund AR101 Commercialization and Pipeline Advancement."
Forward-Looking Statements
Any statements contained in this Form
8-K
regarding matters that are not historical facts are "forward-looking
statements" within the meaning of the Private Securities Litigation Reform Act of 1995. Because such statements are subject to risks and uncertainties, actual results may differ materially from those expressed or implied by such forward-looking
statements. Such statements include, but are not limited to, statements regarding: the Company's expectations regarding the timing and availability of the full amount of proceeds under the loan agreement; the Company's expectations
regarding the sufficiency of its cash resources; the Company's expectations regarding the potential benefits of AR101; the Company's expectations regarding the potential commercialization of AR101, including the timing of a potential
approval of AR101. Risks and uncertainties that contribute to the uncertain nature of the forward-looking statements include: the satisfaction of closing conditions for each subsequent tranche of the loan agreement; the expectation that the Company
will need additional funds to finance its operations; the unpredictability of the regulatory process; the Company's reliance on third parties for the manufacture of its product candidates; possible regulatory developments in the United States
and foreign countries; and the Company's ability to attract and retain senior management personnel. These and other risks and uncertainties are described more fully in the Company's most recent filings with the Securities and Exchange
Commission, including its Quarterly Report on Form
10-Q
for the quarter ended September 30, 2018. All forward-looking statements contained in this Form
8-K
speak
only as of the date on which they were made. These forward-looking statements should not be relied upon as representing the Company's views as of any date subsequent to the date of this Form
8-K
The
Company undertakes no obligation to update such statements to reflect events that occur or circumstances that exist after the date on which they were made.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on
its behalf by the undersigned hereunto duly authorized.
AIMMUNE THERAPEUTICS, INC.
Date: January 4, 2019
By:
/s/ Douglas T. Sheehy
Douglas T. Sheehy
General Counsel and Secretary