SEC Form 4 · accession 0000899243-18-018712
EyePoint, Inc. · EYPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David J Mazzo
Director
Period of report
Jun 27, 2018
Accepted (ET)
Jun 29, 2018 · 4:01 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001314102
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jun 27, 2018 | M | 17,500 | $0.00 | A | 138,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred Stock UnitsF2 | — | Jun 27, 2018 | M | 17,500 | D | — | — | Common Stock | 17,500 | 0 | D |
Explanation of responses
- F1Represents vesting of deferred stock units ("DSUs") previously awarded to the reporting person, with each deferred stock unit representing the right to receive one share of the common stock of EyePoint Pharmaceuticals, Inc. (the "Company").
- F2On December 15, 2017, the reporting person was granted 17,500 DSUs. The DSUs vested in full on June 27, 2018 and will be settled solely in shares of the Company's common stock upon the earliest to occur of: (i) the reporting person's termination of service on the Company's Board of Directors and (ii) the occurrence of a "change in control" (as defined in the applicable award agreement) that constitutes a "change in the ownership or effective control of" the Company or "a change in the ownership of a substantial portion of the assets of" the Company, in each case, as determined under Section 409A of the Internal Revenue Code of 1986, as amended, and the regulations issued thereunder.