SEC Form 4 · accession 0001209191-18-056910
AERIE PHARMACEUTICALS INC · AERI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Casey C. Kopczynski
Officer — Chief Scientific Officer
Period of report
Feb 9, 2018
Accepted (ET)
Nov 2, 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 | Feb 9, 2018 | M | 3,251 | $0.395 | A | 139,768 | D | |
| Common Stock | Feb 9, 2018 | F | 25 | $52.55 | D | 139,743 | D | |
| Common StockF1,F2 | Nov 1, 2018 | S | 3,208 | $52.9936 | D | 136,535 | D | |
| Common StockF1,F3 | Nov 1, 2018 | S | 7,792 | $54.2245 | D | 128,743 | 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)F4 | $0.395 | Feb 9, 2018 | M | 3,251 | D | — | Feb 19, 2018 | Common Stock | 3,251 | 0 | D |
Explanation of responses
- F1The 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 2 and 3 to this Form 4.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions pursuant to the reporting person's Rule 10b5-1 plan at prices ranging from $52.61 to $53.58, inclusive.
- F3The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions pursuant to the reporting person's Rule 10b5-1 plan at prices ranging from $53.90 to $54.48, inclusive.
- F4This option is fully vested and exercisable.