0001104659-20-105238.txt : 20200915
0001104659-20-105238.hdr.sgml : 20200915
20200915161802
ACCESSION NUMBER: 0001104659-20-105238
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200911
FILED AS OF DATE: 20200915
DATE AS OF CHANGE: 20200915
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MARIO ERNEST
CENTRAL INDEX KEY: 0001180469
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38365
FILM NUMBER: 201176195
MAIL ADDRESS:
STREET 1: 20 FAIRMOUNT AVENUE
STREET 2: P.O. BOX 445
CITY: CHATHAM
STATE: NJ
ZIP: 07928
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: EYENOVIA, INC.
CENTRAL INDEX KEY: 0001682639
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 471178401
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 295 MADISON AVENUE,
STREET 2: SUITE 2400
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 813-766-9539
MAIL ADDRESS:
STREET 1: 295 MADISON AVENUE,
STREET 2: SUITE 2400
CITY: NEW YORK
STATE: NY
ZIP: 10017
4
1
tm2030853d6_4.xml
OWNERSHIP DOCUMENT
X0306
4
2020-09-11
0
0001682639
EYENOVIA, INC.
EYEN
0001180469
MARIO ERNEST
C/O EYENOVIA, INC.
295 MADISON AVENUE, SUITE 2400
NEW YORK
NY
10017
1
0
0
0
Common Stock, par value $.0001
2020-09-11
4
A
0
7288
0.00
A
334527
D
Stock Option (right to buy)
3.43
2020-09-11
4
A
0
9820
0.00
A
2030-09-11
Common Stock
9820
9820
D
Class A Warrant
2.27
2020-03-24
2021-03-24
Common Stock
41216
41216
D
Class B Warrant
2.724
2020-03-24
2025-03-24
Common Stock
61823
61823
D
Stock Option (right to buy)
1.24
2015-03-23
2025-03-23
Common Stock
40000
40000
D
Stock Option (right to buy)
1.95
2027-07-07
Common Stock
33334
33334
D
Stock Option (right to buy)
6.2
2028-07-24
Common Stock
4465
4465
D
Stock Option (right to buy)
3.11
2029-08-16
Common Stock
9057
9057
D
Represents restricted stock units that vest on the earlier of September 11, 2021 or the date of the Issuer's 2021 annual meeting of stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors and acceleration upon change in control.
The option becomes exercisable on the earlier of September 11, 2021 or the date of the Issuer's 2021 annual meeting of stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors and acceleration upon change in control.
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 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 is fully vested.
/s/ S. Halle Vakani, Attorney-in-Fact
2020-09-15