SEC Form 4 · accession 0001209191-16-126264
Clearside Biomedical, Inc. · CLSD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jun 7, 2016
Accepted (ET)
Jun 7, 2016 · 4:40 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001539029
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3 | Jun 7, 2016 | C | 1,179,398 | — | A | 1,515,167 | D | |
| Common StockF3 | Jun 7, 2016 | P | 42,857 | $7.00 | A | 1,558,024 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B Preferred StockF3,F2 | — | Jun 7, 2016 | C | 2,594,677 | D | — | — | Common Stock | 1,179,398 | 0 | D |
Explanation of responses
- F1Represents shares received upon conversion of shares of Series B Preferred Stock.
- F2Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of Series B Preferred Stock automatically converted into 0.454545 shares of the Issuer's common stock. The Series B Preferred Stock had no expiration date.
- F3The Reporting Person is a wholly-owned subsidiary of Rusnano MedInvest LLC ("RMI LLC"). RMI LLC is the beneficiary of the Reporting Person.