SEC Form 4 · accession 0001209191-15-034097
AERIE PHARMACEUTICALS INC · AERI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anand Mehra
Director
Period of report
Apr 10, 2015
Accepted (ET)
Apr 14, 2015 · 6:51 pm EDT
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 | Apr 10, 2015 | A | 1,700 | $0.00 | A | 1,700 | D | |
| Common StockF2 | holding | — | — | — | 766,657 | I | See footnote |
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)F3 | $32.30 | Apr 10, 2015 | A | 10,000 | A | — | Apr 10, 2025 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1Subject to the reporting person's continued service on the board of directors of the issuer through the vesting date, these shares of Common Stock are scheduled to vest on April 9, 2016.
- F2The securities are owned directly by Sofinnova Venture Partners VII, L.P. ("SV VII"). Sofinnova Management VII, L.L.C. ("SV VII LLC"), the general partner of SV VII, James Healy, Michael Powell and Eric Buatois, the managing members of SV VII LLC, and Anand Mehra, a director of the issuer, may be deemed to have shared voting power and dispositive power over the shares owned by SV VII. Such persons and entities disclaim beneficial ownership over the shares held by SV II except to the extent of any pecuniary interest therein.
- F3Subject to the reporting person's continued service on the board of directors of the issuer through the applicable vesting date, this option is scheduled to vest ratably on each of the first 12 monthly anniversaries of April 10, 2015.