0000902664-23-004504.txt : 20230817
0000902664-23-004504.hdr.sgml : 20230817
20230817190133
ACCESSION NUMBER: 0000902664-23-004504
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20230815
FILED AS OF DATE: 20230817
DATE AS OF CHANGE: 20230817
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Caligan Partners LP
CENTRAL INDEX KEY: 0001727492
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34703
FILM NUMBER: 231183368
BUSINESS ADDRESS:
STREET 1: 515 MADISON AVENUE
STREET 2: 8TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 718-570-6018
MAIL ADDRESS:
STREET 1: 515 MADISON AVENUE
STREET 2: 8TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: JOHNSON DAVID EDWARD
CENTRAL INDEX KEY: 0001785557
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-34703
FILM NUMBER: 231183367
MAIL ADDRESS:
STREET 1: 590 MADISON AVENUE
CITY: NEW YORK
STATE: NY
ZIP: 10022
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ALIMERA SCIENCES INC
CENTRAL INDEX KEY: 0001267602
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 200028718
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 6310 TOWN SQUARE
STREET 2: SUITE 400
CITY: ALPHARETTA
STATE: GA
ZIP: 30005
BUSINESS PHONE: 678-990-5740
MAIL ADDRESS:
STREET 1: 6310 TOWN SQUARE
STREET 2: SUITE 400
CITY: ALPHARETTA
STATE: GA
ZIP: 30005
4
1
ownership.xml
X0508
4
2023-08-15
0
0001267602
ALIMERA SCIENCES INC
ALIM
0001727492
Caligan Partners LP
515 MADISON AVENUE
8TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0001785557
JOHNSON DAVID EDWARD
515 MADISON AVENUE
8TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0
Common Stock, par value $0.01 per share ("Common Stock")
2023-08-15
4
C
0
2924761
2.10
A
3403538
I
See footnote
Common Stock
2023-08-15
4
C
0
13431616
1.70
A
16835154
I
See footnote
Series B Preferred
2.10
2023-08-15
4
C
0
2924761
0
D
Common Stock
2924761
0
I
See footnote
Series B Preferred
1.70
2023-08-15
4
C
0
13431616
0
D
Common Stock
13431616
0
I
See footnote
On August 15, 2023, the Series B Preferred held by the Caligan Purchasers (as defined below) automatically converted to shares of Common Stock pursuant to their terms. The Series B Preferred had no stated maturity.
This Form 4 is filed by David Johnson ("Mr. Johnson") and Caligan Partners LP ("Caligan") with respect to the securities held by Caligan Partners Master Fund LP ("Caligan Master Fund"), a Cayman Islands limited partnership, and managed accounts ("Caligan Accounts", together with the Caligan Master Fund, the "Caligan Purchasers") to which Caligan serves as investment manager. Mr. Johnson is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.
Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or his pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
Caligan Partners LP, By: /s/ David Johnson, Managing Partner
2023-08-17
/s/ David Edward Johnson
2023-08-17