SEC Form 4 · accession 0000899243-18-019313

EyePoint, Inc. · EYPT

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owners

EW Healthcare Partners, L.P.

10% Owner

Essex Woodlands Fund IX-GP, L.P.

10% Owner

Essex Woodlands IX, LLC

10% Owner

EW Healthcare Partners-A, L.P.

10% Owner

Period of report

Jun 25, 2018

Accepted (ET)

Jul 3, 2018 · 6:23 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, $0.001 par value^F1,F2	Jun 25, 2018	P	16,211,822	$1.265	A	25,470,390	D
Common Stock, $0.001 par value^F1,F2	Jun 25, 2018	P	652,244	$1.265	A	25,470,390	I	EW Healthcare Partners-A L.P.

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrant^F1,F5,F3,F4	—	Jun 25, 2018	P	16,211,822	A	—	—	Common Stock	16,211,822	16,864,066	D
Warrant^F1,F5,F3,F4	—	Jun 25, 2018	P	652,244	A	—	—	Common Stock	652,244	16,864,066	I

Explanation of responses

F1The purchase price is the price of one Unit ("Unit"), with each Unit consisting of (a) one share of common stock and (b) one warrant to purchase a share of common stock.
F2Includes 24,485,283 shares held by EW Healthcare Partners L.P. ("EWHP") and 985,107 shares held by EW Healthcare Partners-A L.P. ("EWHP-A"). Essex Woodlands Fund IX-GP, L.P. ("Fund IX-GP") is the general partner of EWHP and EWHP-A, respectively. Essex Woodlands IX, LLC (the "General Partner") is the general partner of Fund IX-GP. The General Partner holds sole voting and dispositive power over the shares held by EWHP and EWHP-A. The managers of the General Partner are Martin P. Sutter, R. Scott Barry, Ronald Eastman (also a member of the Issuer's board of directors), Petri Vainio and Steve Wiggins (collectively, the "Managers"), and may exercise voting and investment control over the shares only by the majority action of the Managers.
F3The exercise price of each of the warrants will be an amount equal to the lower of (a) $1.43 or (b) a 20% discount to the volume weighted average price of the shares of Common Stock on the Nasdaq Stock Market for the 20 trading days immediately prior to the exercise of a warrant; provided, however, that the exercise price cannot be lower than $0.88.
F4These securities are excercisable on or prior to the fifteenth (15) business day following the date on which EWHP and EWHP-A receive notice from the Issuer that the Centers for Medicare & Medicaid Services has announced that a new C-Code has been established for DexycuTM.
F5Includes 16,211,864 warrant shares held by EWHP and 652,244 shares held EWHP-A. Fund IX-GP is the general partner of EWHP and EWHP-A, respectively. General Partner is the general partner of Fund IX-GP. The General Partner holds sole voting and dispositive power over the shares held by EWHP and EWHP-A. The Managers of the General Partner may exercise voting and investment control over the warrant shares only by the majority action of the Managers.