0001209191-16-126263.txt : 20160607
0001209191-16-126263.hdr.sgml : 20160607
20160607163800
ACCESSION NUMBER: 0001209191-16-126263
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160607
FILED AS OF DATE: 20160607
DATE AS OF CHANGE: 20160607
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Clearside Biomedical, Inc.
CENTRAL INDEX KEY: 0001539029
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 452437375
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1220 OLD ALPHARETTA RD
STREET 2: SUITE 300
CITY: ALPHARETTA
STATE: GA
ZIP: 30005
BUSINESS PHONE: 678-270-4005
MAIL ADDRESS:
STREET 1: 1220 OLD ALPHARETTA RD
STREET 2: SUITE 300
CITY: ALPHARETTA
STATE: GA
ZIP: 30005
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Thorp Clay
CENTRAL INDEX KEY: 0001592380
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37783
FILM NUMBER: 161701697
MAIL ADDRESS:
STREET 1: C/O HATTERAS VENTURE PARTNERS III, LP
STREET 2: 280 S. MANGUM ST., SUITE 350
CITY: DURHAM
STATE: NC
ZIP: 27701
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: INGRAM ROBERT ALEXANDER
CENTRAL INDEX KEY: 0001219890
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37783
FILM NUMBER: 161701698
MAIL ADDRESS:
STREET 1: 280 S. MANGUM STREET
STREET 2: SUITE 350
CITY: DURHAM
STATE: NC
ZIP: 27701
FORMER NAME:
FORMER CONFORMED NAME: INGRAM ROBERT A
DATE OF NAME CHANGE: 20030222
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Crumpler John
CENTRAL INDEX KEY: 0001674107
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37783
FILM NUMBER: 161701701
MAIL ADDRESS:
STREET 1: 280 S. MANGUM STREET
STREET 2: SUITE 350
CITY: DURHAM
STATE: NC
ZIP: 27701
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hatteras Venture Affiliates III Lp
CENTRAL INDEX KEY: 0001390738
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37783
FILM NUMBER: 161701702
BUSINESS ADDRESS:
STREET 1: 1822 E NC 54
STREET 2: Ste 250
CITY: Durham
STATE: NC
ZIP: 27713
BUSINESS PHONE: 9194840730
MAIL ADDRESS:
STREET 1: 1822 E NC 54
STREET 2: Ste 250
CITY: Durham
STATE: NC
ZIP: 27713
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hatteras Ventures Partners III LP
CENTRAL INDEX KEY: 0001390733
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37783
FILM NUMBER: 161701703
BUSINESS ADDRESS:
STREET 1: 1822 E NC 54 Ste 250
CITY: Durham
STATE: NC
ZIP: 27713
BUSINESS PHONE: 9194840730
MAIL ADDRESS:
STREET 1: 1822 E NC 54 Ste 250
CITY: Durham
STATE: NC
ZIP: 27713
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Hatteras Venture Advisors III, LLC
CENTRAL INDEX KEY: 0001674177
STATE OF INCORPORATION: NC
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37783
FILM NUMBER: 161701704
BUSINESS ADDRESS:
STREET 1: 280 S. MANGUM STREET, SUITE 350
CITY: DURHAM
STATE: NC
ZIP: 27701
BUSINESS PHONE: 919-484-0730
MAIL ADDRESS:
STREET 1: 280 S. MANGUM STREET, SUITE 350
CITY: DURHAM
STATE: NC
ZIP: 27701
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Reed Douglas MD
CENTRAL INDEX KEY: 0001291262
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37783
FILM NUMBER: 161701700
MAIL ADDRESS:
STREET 1: C/O VECTOR FUND MANAGEMENT
STREET 2: 1751 LAKE COOK ROAD, SUITE 350
CITY: DEERFIELD
STATE: IL
ZIP: 60015
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: 001-37783
FILM NUMBER: 161701699
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-06-07
0
0001539029
Clearside Biomedical, Inc.
CLSD
0001674177
Hatteras Venture Advisors III, LLC
280 S. MANGUM ST., SUITE 350
DURHAM
NC
27701
0
0
1
0
0001390733
Hatteras Ventures Partners III LP
280 S. MANGUM ST., SUITE 350
DURHAM
NC
27701
0
0
1
0
0001390738
Hatteras Venture Affiliates III Lp
280 S. MANGUM ST., SUITE 350
DURHAM
NC
27701
0
0
1
0
0001674107
Crumpler John
C/O HATTERAS VENTURES
280 S. MANGUM ST., SUITE 350
DURHAM
NC
27701
0
0
1
0
0001291262
Reed Douglas MD
C/O HATTERAS VENTURES
280 S. MANGUM ST., SUITE 350
DURHAM
NC
27701
0
0
1
0
0001208570
LEE KENNETH B JR
C/O HATTERAS VENTURES
280 S. MANGUM ST., SUITE 350
DURHAM
NC
27701
0
0
1
0
0001219890
INGRAM ROBERT ALEXANDER
C/O HATTERAS VENTURES
280 S. MANGUM ST., SUITE 350
DURHAM
NC
27701
0
0
1
0
0001592380
Thorp Clay
C/O HATTERAS VENTURES
280 S. MANGUM ST., SUITE 350
DURHAM
NC
27701
1
0
1
0
Common Stock
2016-06-07
4
C
0
1598219
A
1654242
I
See Footnotes
Common Stock
2016-06-07
4
X
0
21705
0.022
A
1675947
I
See Footnotes
Common Stock
2016-06-07
4
S
0
69
7.00
D
1675878
I
See Footnotes
Common Stock
2016-06-07
4
P
0
107142
7.00
A
1783020
I
See Footnotes
Series A Preferred Stock
2016-06-07
4
C
0
2035907
0.00
D
Common Stock
925411
0
I
See Footnotes
Series A-1 Preferred Stock
2016-06-07
4
C
0
689388
0.00
D
Common Stock
313357
0
I
See Footnotes
Series B Preferred Stock
2016-06-07
4
C
0
432940
0.00
D
Common Stock
196790
0
I
See Footnotes
Series C Preferred Stock
2016-06-07
4
C
0
337898
0.00
D
Common Stock
162661
0
I
See Footnotes
Warrant to Purchase Common Stock (right to buy)
0.022
2016-06-07
4
X
0
19900
0.00
D
2014-04-28
Common Stock
19900
0
I
By Hatteras Venture Partners III, LP
Warrant to Purchase Common Stock (right to buy)
0.022
2016-06-07
4
X
0
1805
0.00
D
2014-04-28
Common Stock
1805
0
I
By Hatteras Venture Affiliates III, LP
The total represents shares received upon conversion of shares of Series A Preferred Stock, Series A-1 Preferred Stock, Series B Preferred Stock and Series C Preferred Stock.
Effective immediately prior to the closing of the Issuer's initial public offering of its common stock, each share of Series A Preferred Stock, Series A-1 Preferred Stock and Series B Preferred Stock automatically converted into 0.454545 shares of the Issuer's common stock, and each share of Series C Preferred Stock automatically converted into 0.4814 shares of the Issuer's common stock. The Preferred Stock had no expiration date.
The reportable securities are owned directly by Hatteras Venture Partners III, LP ("HVP") and Hatteras Venture Affiliates III, LP ("HVA"). Hatteras Venture Advisors III, LLC is the general partner of HVP and HVA (the "GP"). The shares directly held by HVP and HVA are indirectly held by the individual managing members of GP (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP and HVA. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein.
On June 7, 2016, HVP and HVA exercised warrants to purchase an aggregate of 21,705 shares of Issuer's common stock for $0.022 per share. HVP and HVA paid the exercise price on a cashless basis, resulting in the Issuer's withholding of an aggregate of 69 of the warrant shares to pay the exercise price and
issuing to the reporting person the remaining 21,636 shares.
HVP holds 1,634,603 shares and HVA holds 148,417 shares of the Issuer's Common Stock directly.
HVP held 1,866,418 shares and HVA held 169,489 shares of the Issuer's Series A Preferred Stock directly
HVP held 631,997 shares and HVA held 57,391 shares of the Issuer's Series A-1 Preferred Stock directly.
HVP held 396,920 shares and HVA held 36,020 shares of the Issuer's Series B Preferred Stock directly.
HVP held 309,768 shares and HVA held 28,130 shares of the Issuer's Series C Preferred Stock directly.
This warrant would have expired upon the closing of the Issuer's initial public offering.
The reportable securities were owned directly by HVP.
The reportable securities are owned directly by HVA.
/s/ Brian F. Leaf, Attorney-in-Fact for Hatteras Venture Advisors III, LLC
2016-06-07
/s/ Brian F. Leaf, Attorney-in-Fact for Hatteras Venture Advisors III, LLC, the general partner of Hatteras Venture Partners III, LP
2016-06-07
/s/ Brian F. Leaf, Attorney-in-Fact for Hatteras Venture Advisors III, LLC, the general partner of Hatteras Venture Affiliates III, LP
2016-06-07
/s/ Brian F. Leaf, Attorney-in-Fact for John Crumpler
2016-06-07
/s/ Brian F. Leaf, Attorney-in-Fact for Douglas Reed
2016-06-07
/s/ Brian F. Leaf, Attorney-in-Fact for Kenneth Lee
2016-06-07
/s/ Brian F. Leaf, Attorney-in-Fact for Robert Ingram
2016-06-07
/s/ Brian F. Leaf, Attorney-in-Fact for Clay Thorp
2016-06-07