SEC Form 4 · accession 0001012975-15-000003
AERIE PHARMACEUTICALS INC · AERI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Michael Steinmetz
10% Owner
Dennis Henner
Director · 10% Owner
Nicholas Galakatos
10% Owner
Robert Liptak
10% Owner
Kurt Wheeler
10% Owner
Nicholas Simon
10% Owner
Clarus Ventures II, LLC
10% Owner
Clarus Ventures II GP, L.P.
10% Owner
Clarus Lifesciences II, L.P.
10% Owner
Period of report
Jan 5, 2015
Accepted (ET)
Jan 6, 2015 · 3:41 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001337553
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jan 5, 2015 | S | 13,420 | $30.67 | D | 3,509,459 | D | |
| Common StockF3,F2 | Jan 5, 2015 | S | 10,200 | $31.11 | D | 3,499,259 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was 30.00 to 30.99 per shares. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
- F2Securities held of record by Clarus Lifesciences II, L.P. ("Clarus"). Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus, may be deemed to beneficially own certain of the shares held of record by Clarus. The GPLP disclaims beneficial ownership of all shares held of record by Clarus in which the GPLP does not have an actual pecuniary interest. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held of record by Clarus. Each of Messrs. Galakatos, Henner, Liptak, Simon, Steinmetz and Wheeler, as individual Managing Directors of the GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. Each of the GPLLC and Messrs. Galakatos, Henner, Liptak, Simon, Steinmetz and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which it or he, as applicable, does not have an actual pecuniary interest.
- F3The price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was 31.00 to 31.29 per shares. The reporting person undertakes to provide, upon request by the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.