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IMMUNIC (IMUX) director Barclay Phillips receives 25,370 fully vested stock options

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

IMMUNIC, INC. director Barclay A. Phillips received a grant of stock options covering 25,370 shares of common stock. The options have an exercise price of $10.90 per share and are fully vested as of March 27, 2026. The grant was conditionally approved by the Board on March 27, 2026 and became effective after stockholders approved an amendment to the company’s 2019 Omnibus Equity Incentive Plan at the 2026 Annual Meeting held on June 29, 2026. Following this award, Phillips holds options on 25,370 shares directly.

Positive

  • None.

Negative

  • None.
Insider PHILLIPS BARCLAY A
Role null
Type Security Shares Price Value
Grant/Award Stock Option 25,370 $0.00 --
Holdings After Transaction: Stock Option — 25,370 shares (Direct, null)
Footnotes (1)
  1. Represents options to purchase shares of common stock conditionally approved by the Board of Directors on March 27, 2026, subject to approval of an amendment to the Company's 2019 Omnibus Equity Incentive Plan, as amended, by the Company's stockholders, which approval was obtained at the Company's 2026 Annual Meeting of Stockholders held on June 29, 2026. The option is fully vested as of March 27, 2026.
Option grant size 25,370 options Shares of common stock underlying new stock option award
Exercise price $10.90 per share Strike price for IMMUNIC common stock under the option
Post-transaction derivative holdings 25,370 options Total stock options held directly after the award
Option expiration date March 27, 2036 Final date to exercise the granted stock options
Full vesting date March 27, 2026 All granted options are fully vested as of this date
Stock Option financial
"Represents options to purchase shares of common stock conditionally approved"
A stock option is a contract that gives you the right to buy or sell a company's stock at a specific price within a certain time frame. People use them to potentially make money if the stock's price moves favorably or to protect against losses. It's like holding a coupon that can be used to buy or sell stock at a set price later on.
2019 Omnibus Equity Incentive Plan financial
"subject to approval of an amendment to the Company's 2019 Omnibus Equity Incentive Plan"
Annual Meeting of Stockholders financial
"obtained at the Company's 2026 Annual Meeting of Stockholders held on June 29, 2026"
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
PHILLIPS BARCLAY A
(Last)(First)(Middle)
1200 AVENUE OF THE AMERICAS, SUITE 200
(Street)
NEW YORK NEW YORK 10036
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
IMMUNIC, INC. [ IMUX ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
06/29/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

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)
CodeVAmount(A) or (D)Price
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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Option$10.906/29/2026A25,370(1) (2)03/27/2036Common Stock25,370$0.0025,370D
Explanation of Responses:
1. Represents options to purchase shares of common stock conditionally approved by the Board of Directors on March 27, 2026, subject to approval of an amendment to the Company's 2019 Omnibus Equity Incentive Plan, as amended, by the Company's stockholders, which approval was obtained at the Company's 2026 Annual Meeting of Stockholders held on June 29, 2026.
2. The option is fully vested as of March 27, 2026.
/s/ Barclay Phillips06/29/2026
** Signature of Reporting PersonDate
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).
** 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 Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What did IMMUNIC (IMUX) director Barclay Phillips report on this Form 4?

Barclay A. Phillips reported receiving a grant of stock options for 25,370 IMMUNIC shares. The options are compensation, not an open-market stock purchase or sale, and give him the right to buy common shares at a fixed exercise price.

How many IMMUNIC (IMUX) shares are covered by the new stock options?

The new stock option grant covers 25,370 shares of IMMUNIC common stock. This figure also matches Phillips’ total derivative holdings following the transaction, as reported in the Form 4’s post-transaction ownership data.

What is the exercise price and term of Barclay Phillips’ IMMUNIC options?

The granted options have a $10.90 per share exercise price and expire on March 27, 2036. This means Phillips can choose to buy IMMUNIC common stock at $10.90 any time before the stated expiration date, subject to plan terms.

When did the IMMUNIC stock options for Barclay Phillips become fully vested?

The option grant is reported as fully vested as of March 27, 2026. Full vesting means all 25,370 optioned shares are immediately exercisable, rather than becoming exercisable over time according to a vesting schedule.

What approvals were required for this IMMUNIC (IMUX) stock option grant?

The options were conditionally approved by IMMUNIC’s Board on March 27, 2026, subject to stockholder approval of an amendment to the 2019 Omnibus Equity Incentive Plan. That stockholder approval occurred at the 2026 Annual Meeting on June 29, 2026.

Is this IMMUNIC Form 4 transaction an open-market buy or sell of stock?

No. The Form 4 shows a grant of stock options as compensation, coded as an acquisition (A). It does not report any open-market purchases or sales of IMMUNIC common stock by Barclay Phillips on the transaction date.