SEC Form 4 · accession 0001209191-17-011424
AERIE PHARMACEUTICALS INC · AERI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Geoffrey M Duyk
Director
Period of report
Feb 14, 2017
Accepted (ET)
Feb 16, 2017 · 4:03 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 Stock | Feb 14, 2017 | M | 6,667 | $19.50 | A | 10,067 | D | |
| Common Stock | Feb 14, 2017 | F | 2,770 | $46.95 | D | 7,297 | D | |
| Common Stock | Feb 14, 2017 | M | 10,000 | $32.30 | A | 17,297 | D | |
| Common Stock | Feb 14, 2017 | F | 6,880 | $46.95 | D | 10,417 | D | |
| Common Stock | Feb 14, 2017 | M | 13,500 | $17.55 | A | 23,917 | D | |
| Common Stock | Feb 14, 2017 | F | 5,047 | $46.95 | D | 18,870 | D | |
| Common Stock | Feb 14, 2017 | M | 28,000 | $3.15 | A | 46,870 | D | |
| Common Stock | Feb 14, 2017 | F | 1,879 | $46.95 | D | 44,991 | D | |
| Common StockF1 | Feb 14, 2017 | S | 20,795 | $46.4563 | D | 24,196 | D | |
| Common StockF2 | Feb 15, 2017 | S | 20,796 | $46.8089 | D | 3,400 | 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)F3 | $19.50 | Feb 14, 2017 | M | 6,667 | D | — | Jun 8, 2026 | Common Stock | 6,667 | 3,333 | D |
| Stock Option (right to buy)F4 | $32.30 | Feb 14, 2017 | M | 10,000 | D | — | Apr 10, 2025 | Common Stock | 10,000 | 0 | D |
| Stock Option (right to buy)F5 | $17.55 | Feb 14, 2017 | M | 13,500 | D | — | Jun 11, 2024 | Common Stock | 13,500 | 0 | D |
| Stock Option (right to buy)F6 | $3.15 | Feb 14, 2017 | M | 28,000 | D | — | Sep 12, 2023 | Common Stock | 28,000 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $46.20 to $47.05, inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
- F2The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $46.20 to $47.45, inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
- F3This option vested ratably on each of the first eight monthly anniversaries of June 8, 2016 and, subject to the reporting person's continued service on the board of directors of the issuer through the applicable vesting date, is scheduled to vest ratably on each of the following four monthly anniversaries of such date.
- F4This option vested ratably on each of the first 12 monthly anniversaries of April 10, 2015.
- F5This option vested fully on June 11, 2015.
- F6This option vested ratably on each of the first 36 monthly anniversaries of September 12, 2013.