SEC Form 4 · accession 0001209191-18-036803
AERIE PHARMACEUTICALS INC · AERI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Vicente Anido Jr.
Officer — Chief Executive Officer · Director
Period of report
Jun 6, 2018
Accepted (ET)
Jun 8, 2018 · 7:44 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 Stock | Jun 6, 2018 | M | 50,000 | $2.90 | A | 176,320 | D | |
| Common StockF1 | Jun 6, 2018 | S | 45,662 | $60.4442 | D | 130,658 | D | |
| Common StockF2 | Jun 6, 2018 | S | 4,338 | $61.0981 | D | 126,320 | D | |
| Common Stock | Jun 7, 2018 | M | 50,000 | $2.90 | A | 176,320 | D | |
| Common StockF3 | Jun 7, 2018 | S | 33,614 | $62.0562 | D | 142,706 | D | |
| Common StockF4 | Jun 7, 2018 | S | 16,386 | $62.8031 | D | 126,320 | D | |
| Common Stock | Jun 8, 2018 | M | 23,861 | $2.90 | A | 150,181 | D | |
| Common Stock | Jun 8, 2018 | M | 26,139 | $3.15 | A | 176,320 | D | |
| Common StockF5 | Jun 8, 2018 | S | 20,283 | $63.3498 | D | 156,037 | D | |
| Common StockF6 | Jun 8, 2018 | S | 29,717 | $64.5207 | D | 126,320 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (Right to Buy) | $2.90 | Jun 6, 2018 | M | 50,000 | D | Dec 21, 2016 | Mar 21, 2023 | Common Stock | 50,000 | 73,861 | D |
| Option (Right to Buy) | $2.90 | Jun 7, 2018 | M | 50,000 | D | Dec 21, 2016 | Mar 21, 2023 | Common Stock | 50,000 | 23,861 | D |
| Option (Right to Buy) | $2.90 | Jun 8, 2018 | M | 23,861 | D | Dec 21, 2016 | Mar 21, 2023 | Common Stock | 23,861 | 0 | D |
| Option (Right to Buy) | $3.15 | Jun 8, 2018 | M | 26,139 | D | Sep 12, 2017 | Sep 12, 2023 | Common Stock | 26,139 | 896,329 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold pursuant to the reporting person's Rule 10b5-1 plan in multiple transactions at prices ranging from $60.00 to $60.975, 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 sold at each separate price within the ranges set forth in the footnotes to this Form 4.
- F2The price reported in Column 4 is a weighted average price. These shares were sold pursuant to the reporting person's Rule 10b5-1 plan in multiple transactions at prices ranging from $61.00 to $61.20, inclusive.
- F3The price reported in Column 4 is a weighted average price. These shares were sold pursuant to the reporting person's Rule 10b5-1 plan in multiple transactions at prices ranging from $61.50 to $62.425, inclusive.
- F4The price reported in Column 4 is a weighted average price. These shares were sold pursuant to the reporting person's Rule 10b5-1 plan in multiple transactions at prices ranging from $62.45 to $63.325, inclusive.
- F5The price reported in Column 4 is a weighted average price. These shares were sold pursuant to the reporting person's Rule 10b5-1 plan in multiple transactions at prices ranging from $62.95 to $63.85, inclusive.
- F6The price reported in Column 4 is a weighted average price. These shares were sold pursuant to the reporting person's Rule 10b5-1 plan in multiple transactions at prices ranging from $64.20 to $65.00, inclusive.