SEC Form 4 · accession 0001140361-18-009346
AERIE PHARMACEUTICALS INC · AERI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John LaRocca
Officer — General Counsel
Period of report
Feb 19, 2018
Accepted (ET)
Feb 21, 2018 · 4:08 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 | Feb 19, 2018 | A | 18,000 | $0.00 | A | 18,000 | D |
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 | $54.90 | Feb 19, 2018 | A | 70,000 | A | — | Feb 19, 2028 | Common Stock | 70,000 | 70,000 | D |
Explanation of responses
- F1These shares of Common Stock were granted under the Aerie Pharmaceuticals, Inc. Amended and Restated Inducement Award Plan (the "Plan") and are scheduled to vest, subject to the reporting person's continued employment with the issuer through the applicable vesting date, in equal installments on each of the first four anniversaries of February 19, 2018.
- F2This option was granted under the Plan and is scheduled to vest, subject to the reporting person's continued employment with the issuer through the applicable vesting date, as to 25% of the underlying shares on February 19, 2019 and as to the remaining underlying shares in substantially equal installments on each of the first 36 monthly anniversaries of February 19, 2019.