Filing Details
- Accession Number:
- 0001209191-13-050246
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-11-01 19:38:51
- Reporting Period:
- 2013-10-30
- Filing Date:
- 2013-11-01
- Accepted Time:
- 2013-11-01 19:38:51
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1337553 | Aerie Pharmaceuticals Inc | AERI | Biological Products, (No Disgnostic Substances) (2836) | 203109565 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1198325 | Daniel Janney | One Embarcadero Center, Suite 3700 San Francisco CA 94111 | No | No | Yes | No | |
| 1198330 | P Guy Nohra | One Embarcadero Center, Suite 3700 San Francisco CA 94111 | No | No | Yes | No | |
| 1282889 | Acmp Iv Llc | One Embarcadero Center, Suite 3700 San Francisco CA 94111 | No | No | Yes | No | |
| 1282908 | Acp Iv, L.p. | One Embarcadero Center, Suite 3700 San Francisco CA 94111 | No | No | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-10-30 | 200,000 | $0.00 | 200,000 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2013-10-30 | 1,000,000 | $0.00 | 1,200,000 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2013-10-30 | 2,097,947 | $0.00 | 3,297,947 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2013-10-30 | 508,152 | $0.00 | 3,806,099 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2013-10-30 | 110,000 | $10.00 | 3,916,099 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | C | Direct | |
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series A-1 Preferred Stock | Disposition | 2013-10-30 | 1,000,000 | $0.00 | 200,000 | $0.00 |
| Common Stock | Series A-2 Preferred Stock | Disposition | 2013-10-30 | 5,000,000 | $0.00 | 1,000,000 | $0.00 |
| Common Stock | Series A-3 Preferred Stock | Disposition | 2013-10-30 | 10,489,738 | $0.00 | 2,097,947 | $0.00 |
| Common Stock | Series A-3 Preferred Stock Warrants | Disposition | 2013-10-30 | 750,000 | $0.00 | 150,000 | $1.00 |
| Common Stock | Common Stock Warrant (Right to Buy) | Acquisiton | 2013-10-30 | 150,000 | $0.00 | 150,000 | $5.00 |
| Common Stock | Series B Preferred Stock Warrants | Disposition | 2013-10-30 | 1,117,418 | $0.00 | 223,483 | $0.01 |
| Common Stock | Common Stock Warrant (Right to Buy) | Acquisiton | 2013-10-30 | 223,483 | $0.00 | 223,483 | $0.05 |
| Common Stock | Convertible Promissory Note | Disposition | 2013-10-30 | 5,081,521 | $0.00 | 508,152 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 150,000 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct | ||
| 223,483 | No | 4 | C | Direct | ||
| 0 | No | 4 | C | Direct |
Footnotes
- Each share of Series A-1 Preferred Stock, Series A-2 Preferred Stock Series A-3 Preferred Stock, Series A-3 Preferred Stock Warrants and Series B Preferred Stock Warrants automatically converted into shares of Common Stock on a one-for-five basis upon the closing of the Issuer's initial public offering without payment of further consideration. The shares have no expiration date.
- These securities are held by ACP IV, L.P ("ACP IV"). Daniel S. Janney and Guy P. Nohra are directors of ACMP IV, LLC, the general partner of ACP IV and disclaims beneficial ownership of these securities except to the extent of any pecuniary interest therein.
- The Convertible Notes automatically converted into Common Stock on a 10 for 1 basis upon the closing of the Issuer's initial public offering without payment of further consideration and had no expiration date.
- Warrants will expire as follows: (i) warrant representing 375,000 shares on 3/17/2019; and (ii) warrant representing 375,000 shares on 11/2/2019.
- The Series A-3 Preferred Stock warrants to purchase shares of the Issuer's Series A-3 Preferred Stock were exercisable at a price of $1.00 per share at any time during their term. Upon completion of the Issuer's initial public offering, the Series A-3 warrants automatically became exercisable for 150,000 shares of the Issuer's Common Stock at an exercise price of $5.00 per share.
- Warrants will expire as follows: (i) warrant representing 186,236 shares on 12/7/2019; (ii) warrant representing 186,236 shares on 3/28/2020; (iii) warrant representing 279,355 shares on 5/23/2020; (iv) warrant representing 279,355 shares on 8/9/2020; and (v) warrant representing 186,236 shares on 9/30/2020.
- The Series B Preferred Stock warrants to purchase shares of the Issuer's Series B Preferred Stock were exercisable at a price of $0.01 per share at any time during their term. Upon completion of the Issuer's initial public offering, the Series B Preferred Stock warrants automatically became exercisable for 223,483 shares of the Issuer's Common Stock at an exercise price of $0.05 per share.
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