SEC Form 4 · accession 0001209191-18-048785
AERIE PHARMACEUTICALS INC · AERI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas A Mitro
Officer — President and COO
Period of report
Aug 27, 2018
Accepted (ET)
Aug 29, 2018 · 4:02 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 | Aug 27, 2018 | M | 182,668 | $3.15 | A | 234,147 | D | |
| Common Stock | Aug 27, 2018 | M | 7,332 | $3.15 | A | 241,479 | D | |
| Common StockF1,F2 | Aug 27, 2018 | S | 189,549 | $60.2667 | D | 51,930 | D | |
| Common StockF2,F3 | Aug 27, 2018 | S | 451 | $61.0051 | D | 51,479 | 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) | $3.15 | Aug 27, 2018 | M | 182,668 | D | Aug 5, 2017 | Aug 26, 2023 | Common Stock | 182,668 | 126,984 | D |
| Option (Right to Buy) | $3.15 | Aug 27, 2018 | M | 7,332 | D | Aug 5, 2017 | Sep 12, 2023 | Common Stock | 7,332 | 63,498 | 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 $60.95, inclusive.
- F2The 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 footnotes 1 and 3 to this Form 4.
- 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 $61.00 to $61.05, inclusive.