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4//SEC Filing

VENKATARAMAN BALAJI 4

Accession 0000921895-23-002311

CIK 0001267602other
View on SEC.govCompany Profile

Filed

Oct 3, 8:00 PM ET

Accepted

Oct 4, 5:44 PM ET

Size

19.0 KB

Accession

0000921895-23-002311

Insider Transaction Report

Form 4
Period: 2023-10-02
ALIMERA SCIENCES INCALIM
Velan Capital Holdings LLC
10% Owner
Transactions
  • Award

    Stock Option (Right to Buy)

    2023-10-02+50,000→ 50,000 total
    Exercise: $2.99Exp: 2033-10-01→ Common Stock (50,000 underlying)
Holdings

  • Common Stock

    (indirect: By Velan Capital Master Fund LP)
    9,429,808

  • Common Stock

    (indirect: By LLC)
    4,178,725
Velan Capital Investment Management LP
10% Owner
Transactions
  • Award

    Stock Option (Right to Buy)

    2023-10-02+50,000→ 50,000 total
    Exercise: $2.99Exp: 2033-10-01→ Common Stock (50,000 underlying)
Holdings

  • Common Stock

    (indirect: By Velan Capital Master Fund LP)
    9,429,808

  • Common Stock

    (indirect: By LLC)
    4,178,725
Velan Capital Master Fund LP
10% Owner
Transactions
  • Award

    Stock Option (Right to Buy)

    2023-10-02+50,000→ 50,000 total
    Exercise: $2.99Exp: 2033-10-01→ Common Stock (50,000 underlying)
Holdings

  • Common Stock

    (indirect: By Velan Capital Master Fund LP)
    9,429,808

  • Common Stock

    (indirect: By LLC)
    4,178,725
Velan Capital SPV I LLC
10% Owner
Transactions
  • Award

    Stock Option (Right to Buy)

    2023-10-02+50,000→ 50,000 total
    Exercise: $2.99Exp: 2033-10-01→ Common Stock (50,000 underlying)
Holdings

  • Common Stock

    (indirect: By Velan Capital Master Fund LP)
    9,429,808

  • Common Stock

    (indirect: By LLC)
    4,178,725
Velan Capital Management LLC
10% Owner
Transactions
  • Award

    Stock Option (Right to Buy)

    2023-10-02+50,000→ 50,000 total
    Exercise: $2.99Exp: 2033-10-01→ Common Stock (50,000 underlying)
Holdings

  • Common Stock

    (indirect: By LLC)
    4,178,725

  • Common Stock

    (indirect: By Velan Capital Master Fund LP)
    9,429,808
Morgan Adam
Director10% Owner
Transactions
  • Award

    Stock Option (Right to Buy)

    2023-10-02+50,000→ 50,000 total
    Exercise: $2.99Exp: 2033-10-01→ Common Stock (50,000 underlying)
Holdings

  • Common Stock

    (indirect: By LLC)
    4,178,725

  • Common Stock

    (indirect: By Velan Capital Master Fund LP)
    9,429,808
VENKATARAMAN BALAJI
10% Owner
Transactions
  • Award

    Stock Option (Right to Buy)

    2023-10-02+50,000→ 50,000 total
    Exercise: $2.99Exp: 2033-10-01→ Common Stock (50,000 underlying)
Holdings

  • Common Stock

    (indirect: By Velan Capital Master Fund LP)
    9,429,808

  • Common Stock

    (indirect: By LLC)
    4,178,725
Footnotes (4)
  • [F1]This Form 4 is filed jointly by Velan Capital Master Fund LP ("Velan Master"), Velan Capital SPV I LLC ("Velan SPV"), Velan Capital Holdings LLC ("Velan GP"), Velan Capital Investment Management LP ("Velan Capital"), Velan Capital Management LLC ("Velan IM GP"), Adam Morgan and Balaji Venkataraman (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock, par value $0.01 per share (the "Common Stock"). Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.
  • [F2]Securities owned directly by Velan Master. As the general partner of Velan Master, Velan GP may be deemed to beneficially own the securities owned directly by Velan Master. As the investment manager of Velan Master, Velan Capital may be deemed to beneficially own the securities owned directly by Velan Master. As the general partner of Velan Capital, Velan IM GP may be deemed to beneficially own the securities owned directly by Velan Master. Messrs. Morgan and Venkataraman, as managing members of each of Velan GP and Velan IM GP, may be deemed to beneficially own the securities owned directly by Velan Master.
  • [F3]Securities owned directly by Velan SPV. As the managing member of Velan SPV, Velan GP may be deemed to beneficially own the securities owned directly by Velan SPV. As the investment manager of Velan SPV, Velan Capital may be deemed to beneficially own the securities owned directly by Velan SPV. As the general partner of Velan Capital, Velan IM GP may be deemed to beneficially own the securities owned directly by Velan SPV. Messrs. Morgan and Venkataraman, as managing members of each of Velan GP and Velan IM GP, may be deemed to beneficially own the securities owned directly by Velan SPV.
  • [F4]The option shares shall vest in equal monthly installments of Mr. Morgan's continuous service with the Issuer beginning on August 1, 2023 and vest in full at the earlier of August 1, 2024 or the date of the Issuer's 2024 annual meeting of stockholders, with the final installment adjusted as necessary to avoid any fractional shares in any installment.

Documents

1 file

Issuer

ALIMERA SCIENCES INC

CIK 0001267602

→
Entity typeother

Related Parties

1
  • filerCIK 0001114916

Filing Metadata

Form type
4
Filed
Oct 3, 8:00 PM ET
Accepted
Oct 4, 5:44 PM ET
Size
19.0 KB
View on SEC.gov