SEC Form 4/A · accession 0001209191-16-145486
AERIE PHARMACEUTICALS INC · AERI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 1,672,714 | I | See Footnote | |
| Common StockF2 | holding | — | — | — | 1,697,884 | I | See Footnote |
Table II — derivative securities
Explanation of responses
- F1The shares are owned directly by Foresite Capital Fund II, L.P. ("FCF II"). Foresite Capital Management II, LLC ("FCM II"), the general partner of FCF II, may be deemed to have sole voting and dispositive power over these shares. James B. Tananbaum ("Mr. Tananbaum"), in his capacity as managing member of FCM II, may be deemed to have sole voting and dispositive power over these shares. Each Reporting Person disclaims the existence of a "group." Each of FCM II and its members and Mr. Tananbaum disclaims beneficial ownership of any of these shares except to the extent of any pecuniary interest therein, and the filing of this report is not an admission that FCM II and its members or Mr. Tananbaum is the beneficial owner of these shares for purposes of Section 16 or any other purpose.
- F2The shares are owned directly by Foresite Capital Fund III, L.P. ("FCF III"). Foresite Capital Management III, LLC ("FCM III"), the general partner of FCF III, may be deemed to have sole voting and dispositive power over these shares. James B. Tananbaum ("Mr. Tananbaum"), in his capacity as managing member of FCM III, may be deemed to have sole voting and dispositive power over these shares. Each Reporting Person disclaims the existence of a "group." Each of FCM III and its members and Mr. Tananbaum disclaims beneficial ownership of any of these shares except to the extent of any pecuniary interest therein, and the filing of this report is not an admission that FCM III and its members or Mr. Tananbaum is the beneficial owner of these shares for purposes of Section 16 or any other purpose.
Remarks
This Form 4 Amendment amends and restates in its entirety the Form 4 filed on July 26, 2016, which erroneously reported the purchase of 250,000 shares of the Issuer's stock after the Reporting Persons became 10% owners of the Issuer's stock. These 250,000 shares were in fact purchased as part of a single block purchase on July 22, 2016 pursuant to which the Reporting Persons became 10% owners of the Issuer's stock, and the ownership of such shares has been reported on a Form 3 Amendment. No additional purchases of the Issuer's stock were made by any of the Reporting Persons following the single block purchase on July 22, 2016.