0001104659-20-105235.txt : 20200915 0001104659-20-105235.hdr.sgml : 20200915 20200915161717 ACCESSION NUMBER: 0001104659-20-105235 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: LEE KENNETH B JR CENTRAL INDEX KEY: 0001208570 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38365 FILM NUMBER: 201176187 MAIL ADDRESS: STREET 1: 7100 WEST CREDIT AVENUE, SUITE 101 STREET 2: C/O ARALEZ PHARMACEUTICALS INC. CITY: MISSISSAUGA STATE: A6 ZIP: L5N 0E4 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 tm2030853d4_4.xml OWNERSHIP DOCUMENT X0306 4 2020-09-11 0 0001682639 EYENOVIA, INC. EYEN 0001208570 LEE KENNETH B JR 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 19359 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 Stock Option (right to buy) 3.11 2029-08-16 Common Stock 9057 9057 D Stock Option (right to buy) 6.2 2028-07-24 Common Stock 4465 4465 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. The option is fully vested. /s/ S. Halle Vakani, Attorney-in-Fact 2020-09-15