0000921895-23-002311.txt : 20231004
0000921895-23-002311.hdr.sgml : 20231004
20231004174434
ACCESSION NUMBER: 0000921895-23-002311
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231002
FILED AS OF DATE: 20231004
DATE AS OF CHANGE: 20231004
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VENKATARAMAN BALAJI
CENTRAL INDEX KEY: 0001114916
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34703
FILM NUMBER: 231309079
MAIL ADDRESS:
STREET 1: FIRST HORIZON PHARMACEUTICAL CORP
STREET 2: 660 HEMBREE PKWY STE 106
CITY: ROSWELL
STATE: GA
ZIP: 30076
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Morgan Adam
CENTRAL INDEX KEY: 0001964335
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34703
FILM NUMBER: 231309085
MAIL ADDRESS:
STREET 1: 1055B POWERS PLACE
CITY: ALPHARETTA
STATE: GA
ZIP: 30009
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Velan Capital Investment Management LP
CENTRAL INDEX KEY: 0001848809
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34703
FILM NUMBER: 231309084
BUSINESS ADDRESS:
STREET 1: 1055B POWERS PLACE
CITY: ALPHARETTA
STATE: GA
ZIP: 30009
BUSINESS PHONE: 646-844-0037
MAIL ADDRESS:
STREET 1: 1055B POWERS PLACE
CITY: ALPHARETTA
STATE: GA
ZIP: 30009
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Velan Capital SPV I LLC
CENTRAL INDEX KEY: 0001977931
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34703
FILM NUMBER: 231309082
BUSINESS ADDRESS:
STREET 1: 1055B POWERS PLACE
CITY: ALPHARETTA
STATE: GA
ZIP: 30009
BUSINESS PHONE: 646-844-0037
MAIL ADDRESS:
STREET 1: 1055B POWERS PLACE
CITY: ALPHARETTA
STATE: GA
ZIP: 30009
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Velan Capital Holdings LLC
CENTRAL INDEX KEY: 0001964353
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34703
FILM NUMBER: 231309081
BUSINESS ADDRESS:
STREET 1: 1055B POWERS PLACE
CITY: ALPHARETTA
STATE: GA
ZIP: 30009
BUSINESS PHONE: 646-844-0037
MAIL ADDRESS:
STREET 1: 1055B POWERS PLACE
CITY: ALPHARETTA
STATE: GA
ZIP: 30009
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Velan Capital Management LLC
CENTRAL INDEX KEY: 0001964355
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34703
FILM NUMBER: 231309080
BUSINESS ADDRESS:
STREET 1: 1055B POWERS PLACE
CITY: ALPHARETTA
STATE: GA
ZIP: 30009
BUSINESS PHONE: 646-844-0037
MAIL ADDRESS:
STREET 1: 1055B POWERS PLACE
CITY: ALPHARETTA
STATE: GA
ZIP: 30009
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Velan Capital Master Fund LP
CENTRAL INDEX KEY: 0001964356
STATE OF INCORPORATION: E9
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34703
FILM NUMBER: 231309083
BUSINESS ADDRESS:
STREET 1: 1055B POWERS PLACE
CITY: ALPHARETTA
STATE: GA
ZIP: 30009
BUSINESS PHONE: 646-844-0037
MAIL ADDRESS:
STREET 1: 1055B POWERS PLACE
CITY: ALPHARETTA
STATE: GA
ZIP: 30009
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ALIMERA SCIENCES INC
CENTRAL INDEX KEY: 0001267602
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 200028718
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 6310 TOWN SQUARE
STREET 2: SUITE 400
CITY: ALPHARETTA
STATE: GA
ZIP: 30005
BUSINESS PHONE: 678-990-5740
MAIL ADDRESS:
STREET 1: 6310 TOWN SQUARE
STREET 2: SUITE 400
CITY: ALPHARETTA
STATE: GA
ZIP: 30005
4
1
form412927011_10042023.xml
OWNERSHIP DOCUMENT
X0508
4
2023-10-02
0
0001267602
ALIMERA SCIENCES INC
ALIM
0001964335
Morgan Adam
6310 TOWN SQUARE, SUITE 400
ALPHARETTA
GA
30005
1
0
1
0
0001848809
Velan Capital Investment Management LP
1055B POWERS PLACE
ALPHARETTA
GA
30009
0
0
1
0
0001964356
Velan Capital Master Fund LP
1055B POWERS PLACE
ALPHARETTA
GA
30009
0
0
1
0
0001977931
Velan Capital SPV I LLC
1055B POWERS PLACE
ALPHARETTA
GA
30009
0
0
1
0
0001964353
Velan Capital Holdings LLC
1055B POWERS PLACE
ALPHARETTA
GA
30009
0
0
1
0
0001964355
Velan Capital Management LLC
1055B POWERS PLACE
ALPHARETTA
GA
30009
0
0
1
0
0001114916
VENKATARAMAN BALAJI
1055B POWERS PLACE
ALPHARETTA
GA
30009
0
0
1
0
0
Common Stock
9429808
I
By Velan Capital Master Fund LP
Common Stock
4178725
I
By Velan Capital SPV I LLC
Stock Option (Right to Buy)
2.99
2023-10-02
4
A
0
50000
0
A
2033-10-01
Common Stock
50000
50000
D
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.
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.
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.
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.
/s/ Adam Morgan
2023-10-04
Velan Capital Investment Management LP, By: Velan Capital Management LLC, its general partner, By: /s/ Adam Morgan, managing member
2023-10-04
Velan Capital Master Fund LP, By: Velan Capital Holdings LLC, its general partner, By: /s/ Adam Morgan, managing member
2023-10-04
Velan Capital SPV I LLC, By: Velan Capital Holdings LLC, its managing member, By: /s/ Adam Morgan, managing member
2023-10-04
Velan Capital Holdings LLC, By: /s/ Adam Morgan, managing member
2023-10-04
Velan Capital Management LLC, By: /s/ Adam Morgan, managing member
2023-10-04
/s/ Balaji Venkataraman
2023-10-04