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