Filing Details

Accession Number:
0001193805-20-001220
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-10-01 17:36:32
Reporting Period:
2020-09-29
Accepted Time:
2020-10-01 17:36:32
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1534133 Graybug Vision Inc. GRAY () DE
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1009258 Deerfield Management Company, L.p. (Series C) 780 Third Avenue, 37Th Floor
New York NY 10017
No No Yes Yes
1010823 L.p. Mgmt Deerfield 780 Third Avenue
37Th Floor
New York NY 10017
No No Yes Yes
1301041 Deerfield Partners, L.p. 780 Third Avenue
37Th Floor
New York NY 10017
No No Yes Yes
1352546 E James Flynn 780 Third Avenue
37Th Floor
New York NY 10017
No No Yes Yes
1603333 Deerfield Private Design Fund Iii, L.p. 780 Third Avenue, 37Th Floor
New York NY 10017
No No Yes Yes
1610540 Deerfield Mgmt Iii, L.p. 780 Third Avenue, 37Th Floor
New York NY 10017
No No Yes Yes
1646981 Deerfield Healthcare Innovations Fund, L.p. 780 Third Avenue
37Th Floor
New York NY 10017
No No Yes Yes
1665736 Deerfield Mgmt Hif, L.p. 780 Third Avenue
37Th Floor
New York NY 10017
No No Yes Yes
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 2020-09-29 1,422,406 $0.00 1,422,406 No 4 C Indirect Through Deerfield Healthcare Innovations Fund, L.P.
Common Stock Acquisiton 2020-09-29 1,422,406 $0.00 1,422,406 No 4 C Indirect Through Deerfield Private Design Fund III, L.P.
Common Stock Acquisiton 2020-09-29 291,467 $0.00 1,713,873 No 4 C Indirect Through Deerfield Healthcare Innovations Fund, L.P.
Common Stock Acquisiton 2020-09-29 291,467 $0.00 1,713,873 No 4 C Indirect Through Deerfield Private Design Fund III, L.P.
Common Stock Acquisiton 2020-09-29 291,467 $0.00 291,467 No 4 C Indirect Through Deerfield Partners, L.P.
Common Stock Acquisiton 2020-09-29 1,562,500 $16.00 1,853,967 No 4 P Indirect Through Deerfield Partners, L.P.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 C Indirect Through Deerfield Healthcare Innovations Fund, L.P.
No 4 C Indirect Through Deerfield Private Design Fund III, L.P.
No 4 C Indirect Through Deerfield Healthcare Innovations Fund, L.P.
No 4 C Indirect Through Deerfield Private Design Fund III, L.P.
No 4 C Indirect Through Deerfield Partners, L.P.
No 4 P Indirect Through Deerfield Partners, L.P.
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Series B Preferred Stock Disposition 2020-09-29 12,809,912 $0.00 1,422,406 $0.00
Common Stock Series B Preferred Stock Disposition 2020-09-29 12,809,910 $0.00 1,422,406 $0.00
Common Stock Series C Preferred Stock Disposition 2020-09-29 2,624,901 $0.00 291,467 $0.00
Common Stock Series C Preferred Stock Disposition 2020-09-29 2,624,901 $0.00 291,467 $0.00
Common Stock Series C Preferred Stock Disposition 2020-09-29 2,624,901 $0.00 291,467 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
Footnotes
  1. Each share of Series B Preferred Stock automatically converted into 0.11103955 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.0058 reverse stock split effected by the Issuer on September 18, 2020).
  2. Each share of Series C Preferred Stock automatically converted into 0.11103955 shares of the Issuer's common stock upon the closing of the Issuer's initial public offering (on an adjusted basis, after giving effect to the 1-for-9.0058 reverse stock split effected by the Issuer on September 18, 2020).
  3. This Form 4 is being filed by the undersigned as well as the entities listed on the Joint Filer Information Statement attached as an exhibit hereto (the "Reporting Persons"). Deerfield Mgmt III, L.P. is the general partner of Deerfield Private Design Fund III, L.P. ("Fund III"). Deerfield Mgmt, L.P. is the general partner of Deerfield Partners, L.P. ("Deerfield Partners"). Deerfield Mgmt HIF, L.P. is the general partner of Deerfield Healthcare Innovations Fund, L.P. (collectively with Fund III and Deerfield Partners, the "Funds"). Deerfield Management Company, L.P. is the investment manager of the Funds. James E. Flynn is the sole member of the general partner of each of Deerfield Mgmt, L.P., Deerfield Mgmt III, L.P., Deerfield Mgmt HIF, L.P. and Deerfield Management Company, L.P.
  4. In accordance with Instruction 4 (b)(iv) to Form 4, the entire amount of the Issuer's securities held by the Funds is reported herein. For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of his/its indirect pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.