Filing Details
- Accession Number:
- 0001638599-20-000346
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-03-26 18:17:35
- Reporting Period:
- 2020-03-24
- Accepted Time:
- 2020-03-26 18:17:35
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1682639 | Eyenovia Inc. | EYEN | Pharmaceutical Preparations (2834) | 471178401 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1728916 | Tsontcho Ianchulev | C/O Eyenovia, Inc. 295 Madison Avenue, Suite 2400 New York NY 10017 | Chief Executive Officer | Yes | Yes | 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, Par Value $.0001 | Acquisiton | 2020-03-24 | 82,431 | $2.27 | 508,679 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Class A Warrant | Acquisiton | 2020-03-24 | 41,216 | $0.00 | 41,216 | $2.27 |
| Common Stock | Class B Warrant | Acquisiton | 2020-03-24 | 61,823 | $0.00 | 61,823 | $2.72 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 41,216 | 2020-03-24 | 2021-03-24 | No | 4 | P | Direct |
| 61,823 | 2020-03-24 | 2025-03-24 | No | 4 | P | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock, Par Value $.0001 | 606,667 | Indirect | By Private Medical Equity, Inc. |
| Common Stock, Par Value $.0001 | 6,000 | Indirect | By The Meliora Trust |
| Common Stock, Par Value $.0001 | 453,333 | Indirect | By PME Investor Services Eyenovia, LLC |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (right to buy) | $1.95 | 2027-07-07 | 267,370 | 267,370 | Direct | |
| Common Stock | Stock Option (right to buy) | $6.20 | 2028-07-24 | 124,210 | 124,210 | Direct | |
| Common Stock | Stock Option (right to buy) | $3.11 | 2029-08-16 | 183,703 | 183,703 | Direct | |
| Common Stock | Stock Option (right to buy) | $1.24 | 2015-03-23 | 2025-03-23 | 140,000 | 140,000 | Indirect |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2027-07-07 | 267,370 | 267,370 | Direct |
| 2028-07-24 | 124,210 | 124,210 | Direct |
| 2029-08-16 | 183,703 | 183,703 | Direct |
| 2025-03-23 | 140,000 | 140,000 | Indirect |
Footnotes
- On March 24, 2020, the Reporting Person purchased Units from the Issuer in a private placement, with each Unit consisting of (a) one share of the Issuer's common stock, (b) a Class A Warrant representing the right to acquire 0.5 shares of the Issuer's common stock and (c) a Class B Warrant representing the right to acquire 0.75 shares of the Issuer's common stock. The purchase price for each Unit was $2.42625 of which $2.27 was for the share of the Issuer's common stock, $0.06250 was for the Class A Warrant and $0.09375 was for the Class B Warrant.
- The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.
- The exercise price per share of the Issuer's common stock issuable upon exercise of the Class A and Class B Warrants is subject to adjustment for stock splits, stock dividends and similar corporate events.
- The number of shares of Issuer common stock issuable upon exercise of the Class A and Class B Warrants is subject to adjustment for stock splits, stock dividends and similar corporate events.
- The option became exercisable as to 11,140 shares on August 7, 2017 and becomes exercisable in equal 11,140 share amounts on each of the 35 one-month anniversaries thereafter.
- This option is fully vested.
- One-third of the option becomes exercisable on August 16, 2020 and the remaining shares underlying the option become exercisable in equal increments on each of the 24 one-month anniversaries thereafter.
Billionaire Hedge Funds
