SEC Form 4/A · accession 0001012975-15-000076
AERIE PHARMACEUTICALS INC · AERI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
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
Oct 25, 2013
Accepted (ET)
Jan 30, 2015 · 5:39 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 | Oct 25, 2013 | P | 321,000 | $10.00 | A | 3,468,494 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Preferred WarrantF2,F3,F1 | $0.05 | Oct 25, 2013 | C | 184,812 | D | — | Dec 7, 2019 | Series B Preferred Stock | 184,812 | 0 | D |
| Common Stock WarrantF1,F2,F4 | $0.05 | Oct 25, 2013 | C | 184,812 | A | — | Dec 7, 2019 | Common Stock | 184,812 | 0 | D |
Explanation of responses
- F1This amendment is being filed to correct erroneous lines in the October 28, 2013 Form 4. It reflects: (i) the correction of the transaction in Table II, which was erroneously labeled as a conversion of Series B Preferred Warrants to Common Stock, rather than correctly disclosed as the conversion of Series B Preferred Warrants to Common Stock Warrants; (ii) the deletion of the third line of Table I to reflect that the aforementioned Series B Preferred Warrants were not converted into Common Stock; and (iii) the correct amount of securities beneficially owned following the reported transactions, in line 4 of Table I, after this amendment.
- 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 warrants were immediately exercisable.
- F4The warrants were immediately exercisable.