0001578563-17-000004.txt : 20170119
0001578563-17-000004.hdr.sgml : 20170119
20170119193123
ACCESSION NUMBER: 0001578563-17-000004
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170117
FILED AS OF DATE: 20170119
DATE AS OF CHANGE: 20170119
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: 17537229
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: Reed Douglas MD
CENTRAL INDEX KEY: 0001291262
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37783
FILM NUMBER: 17537230
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: 17537231
MAIL ADDRESS:
STREET 1: 7100 WEST CREDIT AVENUE, SUITE 101
STREET 2: C/O ARALEZ PHARMACEUTICALS INC.
CITY: MISSISSAUGA
STATE: A6
ZIP: L5N 0E4
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: 17537232
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: 17537233
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 Advisors IV SBIC, LLC
CENTRAL INDEX KEY: 0001675236
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37783
FILM NUMBER: 17537235
BUSINESS ADDRESS:
STREET 1: 280 S. MANGUM STREET
STREET 2: SUITE 350
CITY: DURHAM
STATE: NC
ZIP: 27701
BUSINESS PHONE: 919-484-0730
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 Partners IV SBIC, LP
CENTRAL INDEX KEY: 0001675232
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-37783
FILM NUMBER: 17537234
BUSINESS ADDRESS:
STREET 1: 280 S. MANGUM STREET
STREET 2: SUITE 350
CITY: DURHAM
STATE: NC
ZIP: 27701
BUSINESS PHONE: 919-484-0730
MAIL ADDRESS:
STREET 1: 280 S. MANGUM STREET
STREET 2: SUITE 350
CITY: DURHAM
STATE: NC
ZIP: 27701
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4
2017-01-17
1
0001539029
Clearside Biomedical, Inc.
CLSD
0001675236
Hatteras Venture Advisors IV SBIC, LLC
280 S. MANGUM STREET, SUITE 350
DURHAM
NC
27701
0
0
1
1
May be part of a 13(d) Group
0001675232
Hatteras Venture Partners IV SBIC, LP
280 S. MANGUM STREET, SUITE 350
DURHAM
NC
27701
0
0
1
1
May be part of a 13(d) Group
0001674107
Crumpler John
C/O HATTERAS VENTURES
280 S. MANGUM STREET, SUITE 350
DURHAM
NC
27701
0
0
1
1
May be part of a 13(d) Group
0001219890
INGRAM ROBERT ALEXANDER
C/O HATTERAS VENTURES
280 S. MANGUM STREET, SUITE 350
DURHAM
NC
27701
0
0
1
1
May be part of a 13(d) Group
0001208570
LEE KENNETH B JR
C/O HATTERAS VENTURES
280 S. MANGUM STREET, SUITE 350
DURHAM
NC
27701
0
0
1
1
May be part of a 13(d) Group
0001291262
Reed Douglas MD
C/O HATTERAS VENTURES
280 S. MANGUM STREET, SUITE 350
DURHAM
NC
27701
0
0
1
1
May be part of a 13(d) Group
0001592380
Thorp Clay
C/O HATTERAS VENTURES
280 S. MANGUM STREET, SUITE 350
DURHAM
NC
27701
0
0
1
1
May be part of a 13(d) Group
Common Stock
2017-01-17
4
S
0
9806
8.92
D
2080364
I
See Footnote
Common Stock
2017-01-18
4
S
0
12258
8.64
D
2068106
I
See Footnote
Common Stock
2017-01-19
4
S
0
7592
8.22
D
2060514
I
See Footnote
This transaction was executed in multiple trades at prices ranging from $8.68 to $9.22. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.
The reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC is the general partner of HVP IV (the "GP"). The securities directly held by HVP IV 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 IV. 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.
This transaction was executed in multiple trades at prices ranging from $8.42 to $8.79. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.
This transaction was executed in multiple trades at prices ranging from $8.01 to $8.65. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transactions were effected.
/s/ Thomas A. Allen, attorney-in-fact for Hatteras Venture Advisors IV SBIC, LLC
2017-01-19
/s/ Thomas A. Allen, attorney-in-fact for Hatteras Venture Advisors IV SBIC, LLC, the general partner of Hatteras Venture Partners IV SBIC, LP
2017-01-19
/s/ Thomas A. Allen, attorney-in-fact for John C. Crumpler
2017-01-19
/s/ Thomas A. Allen, attorney-in-fact for Robert A. Ingram
2017-01-19
/s/ Thomas A. Allen, attorney-in-fact for Kenneth B. Lee
2017-01-19
/s/ Thomas A. Allen, attorney-in-fact for Douglas Reed
2017-01-19
/s/ Thomas A. Allen, attorney-in-fact for Clay B. Thorp
2017-01-19
EX-24
2
poahatterassbic.txt
POA
POWER OF ATTORNEY
Know all by these presents that the undersigned hereby
constitutes and appoints each of Thomas A. Allen and
Andrew J. Gibbons, and each of them acting alone, signing
singly, the undersigned's true and lawful attorney-in-fact
to:
(1) execute for and on behalf of the undersigned, in the
undersigned's capacity as an officer, director, and/or 10%
or more stockholder of Clearside Biomedical , Inc. (the
"Company"), Forms ID, 3, 4 and 5 and Schedules 13D or 13G
(and any amendments thereto) under Section 13(d) and 16(a)
of the Securities Exchange Act of 1934, as amended (the
"1934 Act") in accordance with the 1934 Act, and the rules
promulgated thereunder;
(2) do and perform any and all acts for and on behalf of the
undersigned which may be necessary or desirable to complete
and execute any such Form or Schedule (and any amendments
thereto) and to file timely such Form or Schedule with the
United States Securities and Exchange Commission and any
stock exchange or similar authority; and
(3) take any other action of any type whatsoever in connection
with the foregoing which in the opinion of such attorney-in-
fact may be of benefit to, in the best interest of, or
legally required by, the undersigned, it being understood that
the documents executed by such attorney-in-fact on behalf of
the undersigned pursuant to this Power of Attorney shall be in
such form and shall contain such terms and conditions as such
attorney-in-fact may approve in such attorney-in-fact's
discretion.
The undersigned hereby grants to each such attorney-in-
fact full power and authority to do and perform any and every
act and thing whatsoever requisite, necessary or proper to be
done in the exercise of any of the rights and powers herein
granted, as fully to all intents and purposes as the
undersigned might or could do if personally present, with full
power of substitution or revocation, hereby ratifying and
confirming all that such attorney-in-fact, or such attorney-
in-fact's substitute or substitutes, shall lawfully do or
cause to be done by virtue of this power of attorney and the
rights and powers herein granted. The undersigned acknowledges
that the foregoing attorneys-in-fact, in serving in such
capacity at the request of the undersigned, are not assuming,
nor is the Company assuming, any of the undersigned's
responsibilities to comply with Section 13(d) or 16(a) of the
1934 Act.
This Power of Attorney shall remain in full force and
effect until the undersigned is no longer required to file such
Forms or Schedules with respect to the undersigned's holdings
of and transactions in securities issued by the Company, unless
earlier revoked by the undersigned in a signed writing
delivered to each of the foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has caused this Power
of Attorney to be executed as of this 18th day of January 2017.
HATTERAS VENTURE ADVISORS IV SBIC, LLC
By: /s/ Clay B. Thorp
Name: Clay B. Thorp
Title: Manager
HATTERAS VENTURE PARTNERS IV SBIC, LP
By: Hatteras Venture Advisors IV SBIC, LLC, its general
partner
By: /s/ Clay B. Thorp
Name: Clay B. Thorp
Title: Manager
/s/ John C. Crumpler
John C. Crumpler
/s/ Robert A. Ingram
Robert A. Ingram
/s/ Kenneth B. Lee
Kenneth B. Lee
/s/ Douglas Reed
Douglas Reed
/s/ Clay B. Thorp
Clay B. Thorp