Home/Filings/4/A/0001012975-15-000076

4/A//SEC Filing

AERIE PHARMACEUTICALS INC 4/A

Accession 0001012975-15-000076

CIK 0001337553operating

View on SEC.gov Company Profile

Filed

Jan 29, 7:00 PM ET

Accepted

Jan 30, 5:39 PM ET

Size

25.8 KB

Accession

0001012975-15-000076

Insider Transaction Report

Form 4/AAmended

Period: 2013-10-25

AERIE PHARMACEUTICALS INCAERI

Clarus Ventures II GP, L.P.

10% Owner

Transactions

Conversion
Series B Preferred Warrant
2013-10-25−184,812→ 0 total
Exercise: $0.05Exp: 2019-12-07→ Series B Preferred Stock (184,812 underlying)
Conversion
Common Stock Warrant
2013-10-25+184,812→ 0 total
Exercise: $0.05Exp: 2019-12-07→ Common Stock (184,812 underlying)
Purchase
Common Stock
2013-10-25$10.00/sh+321,000$3,210,000→ 3,468,494 total

Simon Nicholas

10% Owner

Transactions

Conversion
Common Stock Warrant
2013-10-25+184,812→ 0 total
Exercise: $0.05Exp: 2019-12-07→ Common Stock (184,812 underlying)
Purchase
Common Stock
2013-10-25$10.00/sh+321,000$3,210,000→ 3,468,494 total
Conversion
Series B Preferred Warrant
2013-10-25−184,812→ 0 total
Exercise: $0.05Exp: 2019-12-07→ Series B Preferred Stock (184,812 underlying)

STEINMETZ MICHAEL

10% Owner

Transactions

Purchase
Common Stock
2013-10-25$10.00/sh+321,000$3,210,000→ 3,468,494 total
Conversion
Series B Preferred Warrant
2013-10-25−184,812→ 0 total
Exercise: $0.05Exp: 2019-12-07→ Series B Preferred Stock (184,812 underlying)
Conversion
Common Stock Warrant
2013-10-25+184,812→ 0 total
Exercise: $0.05Exp: 2019-12-07→ Common Stock (184,812 underlying)

Clarus Lifesciences II, L.P.

10% Owner

Transactions

Purchase
Common Stock
2013-10-25$10.00/sh+321,000$3,210,000→ 3,468,494 total
Conversion
Common Stock Warrant
2013-10-25+184,812→ 0 total
Exercise: $0.05Exp: 2019-12-07→ Common Stock (184,812 underlying)
Conversion
Series B Preferred Warrant
2013-10-25−184,812→ 0 total
Exercise: $0.05Exp: 2019-12-07→ Series B Preferred Stock (184,812 underlying)

HENNER DENNIS

Director10% Owner

Transactions

Conversion
Common Stock Warrant
2013-10-25+184,812→ 0 total
Exercise: $0.05Exp: 2019-12-07→ Common Stock (184,812 underlying)
Purchase
Common Stock
2013-10-25$10.00/sh+321,000$3,210,000→ 3,468,494 total
Conversion
Series B Preferred Warrant
2013-10-25−184,812→ 0 total
Exercise: $0.05Exp: 2019-12-07→ Series B Preferred Stock (184,812 underlying)

LIPTAK ROBERT

10% Owner

Transactions

Purchase
Common Stock
2013-10-25$10.00/sh+321,000$3,210,000→ 3,468,494 total
Conversion
Common Stock Warrant
2013-10-25+184,812→ 0 total
Exercise: $0.05Exp: 2019-12-07→ Common Stock (184,812 underlying)
Conversion
Series B Preferred Warrant
2013-10-25−184,812→ 0 total
Exercise: $0.05Exp: 2019-12-07→ Series B Preferred Stock (184,812 underlying)

Clarus Ventures II, LLC

10% Owner

Transactions

Purchase
Common Stock
2013-10-25$10.00/sh+321,000$3,210,000→ 3,468,494 total
Conversion
Series B Preferred Warrant
2013-10-25−184,812→ 0 total
Exercise: $0.05Exp: 2019-12-07→ Series B Preferred Stock (184,812 underlying)
Conversion
Common Stock Warrant
2013-10-25+184,812→ 0 total
Exercise: $0.05Exp: 2019-12-07→ Common Stock (184,812 underlying)

GALAKATOS NICHOLAS

10% Owner

Transactions

Purchase
Common Stock
2013-10-25$10.00/sh+321,000$3,210,000→ 3,468,494 total
Conversion
Series B Preferred Warrant
2013-10-25−184,812→ 0 total
Exercise: $0.05Exp: 2019-12-07→ Series B Preferred Stock (184,812 underlying)
Conversion
Common Stock Warrant
2013-10-25+184,812→ 0 total
Exercise: $0.05Exp: 2019-12-07→ Common Stock (184,812 underlying)

WHEELER KURT

10% Owner

Transactions

Conversion
Series B Preferred Warrant
2013-10-25−184,812→ 0 total
Exercise: $0.05Exp: 2019-12-07→ Series B Preferred Stock (184,812 underlying)
Purchase
Common Stock
2013-10-25$10.00/sh+321,000$3,210,000→ 3,468,494 total
Conversion
Common Stock Warrant
2013-10-25+184,812→ 0 total
Exercise: $0.05Exp: 2019-12-07→ Common Stock (184,812 underlying)

Footnotes (4)

[F1]This amendment is being filed to correct erroneous lines in the October 28, 2013 Form 4. It reflects: (i) the correction of the transaction in Table II, which was erroneously labeled as a conversion of Series B Preferred Warrants to Common Stock, rather than correctly disclosed as the conversion of Series B Preferred Warrants to Common Stock Warrants; (ii) the deletion of the third line of Table I to reflect that the aforementioned Series B Preferred Warrants were not converted into Common Stock; and (iii) the correct amount of securities beneficially owned following the reported transactions, in line 4 of Table I, after this amendment.
[F2]Securities held of record by Clarus Lifesciences II, L.P. ("Clarus"). Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus, may be deemed to beneficially own certain of the shares held of record by Clarus. The GPLP disclaims beneficial ownership of all shares held of record by Clarus in which the GPLP does not have an actual pecuniary interest. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held of record by Clarus. Each of Messrs. Galakatos, Henner, Liptak, Simon, Steinmetz and Wheeler, as individual Managing Directors of the GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. Each of the GPLLC and Messrs. Galakatos, Henner, Liptak, Simon, Steinmetz and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which it or he, as applicable, does not have an actual pecuniary interest.
[F3]The warrants were immediately exercisable.
[F4]The warrants were immediately exercisable.

Documents

2 files

Issuer

AERIE PHARMACEUTICALS INC

CIK 0001337553

→

Entity typeoperating

IncorporatedDE

Related Parties

filerCIK 0001337553

Filing Metadata

Form type: 4/A
Filed: Jan 29, 7:00 PM ET
Accepted: Jan 30, 5:39 PM ET
Size: 25.8 KB

View on SEC.gov