SEC Form 4 · accession 0000904454-15-000807
EyePoint, Inc. · EYPT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul Ashton
Officer — President & CEO · Director
Period of report
Dec 22, 2015
Accepted (ET)
Dec 23, 2015 · 6:04 pm EST
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 | Dec 22, 2015 | M | 120,000 | $1.13 | A | 560,741 | D | |
| Common StockF3 | Dec 22, 2015 | S | 120,000 | $5.39 | D | 440,741 | D | |
| Common StockF4 | holding | — | — | — | 16,781 | I | By trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $1.13 | Dec 22, 2015 | M | 120,000 | D | — | Nov 18, 2018 | Common Stock | 120,000 | 90,000 | D |
Explanation of responses
- F1Shares sold pursuant to a Rule 10b5-1 Sales Plan adopted by the Reporting Person with respect to the Common Stock of the Issuer.
- F2The option was granted on 11/18/2008 and vested in four equal annual installments beginning on the first anniversary of the date of grant.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.25 to $5.56. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer 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.
- F4Shares held by the Paul Ashton Children's Irrevocable Trust, of which the Reporting Person's minor children are the beneficiaries. The Reporting Person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest, if any, therein.