0001209191-16-145485.txt : 20161007
0001209191-16-145485.hdr.sgml : 20161007
20161007211023
ACCESSION NUMBER: 0001209191-16-145485
CONFORMED SUBMISSION TYPE: 3/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160722
FILED AS OF DATE: 20161007
DATE AS OF CHANGE: 20161007
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: AERIE PHARMACEUTICALS INC
CENTRAL INDEX KEY: 0001337553
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 203109565
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 7020 KIT CREEK ROAD
STREET 2: SUITE 270
CITY: RESEARCH TRIANGLE PARK
STATE: NC
ZIP: 27709
BUSINESS PHONE: 919-313-9650
MAIL ADDRESS:
STREET 1: 7020 KIT CREEK ROAD
STREET 2: SUITE 270
CITY: RESEARCH TRIANGLE PARK
STATE: NC
ZIP: 27709
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Tananbaum James B.
CENTRAL INDEX KEY: 0001581754
FILING VALUES:
FORM TYPE: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36152
FILM NUMBER: 161928999
MAIL ADDRESS:
STREET 1: 3052 PACIFIC AVENUE
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94115
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Foresite Capital Fund III, L.P.
CENTRAL INDEX KEY: 0001645158
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36152
FILM NUMBER: 161929000
BUSINESS ADDRESS:
STREET 1: 600 MONTGOMERY STREET
STREET 2: SUITE 4500
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-877-4887
MAIL ADDRESS:
STREET 1: 600 MONTGOMERY STREET
STREET 2: SUITE 4500
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Foresite Capital Management III, LLC
CENTRAL INDEX KEY: 0001645157
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36152
FILM NUMBER: 161929001
BUSINESS ADDRESS:
STREET 1: 600 MONTGOMERY STREET
STREET 2: SUITE 4500
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-877-4887
MAIL ADDRESS:
STREET 1: 600 MONTGOMERY STREET
STREET 2: SUITE 4500
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Foresite Capital Fund II, L.P.
CENTRAL INDEX KEY: 0001594914
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36152
FILM NUMBER: 161929002
BUSINESS ADDRESS:
STREET 1: 600 MONTGOMERY STREET
STREET 2: SUITE 4500
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-877-4887
MAIL ADDRESS:
STREET 1: 600 MONTGOMERY STREET
STREET 2: SUITE 4500
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Foresite Capital Management II, LLC
CENTRAL INDEX KEY: 0001594912
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36152
FILM NUMBER: 161929003
BUSINESS ADDRESS:
STREET 1: 600 MONTGOMERY STREET
STREET 2: SUITE 4500
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-877-4887
MAIL ADDRESS:
STREET 1: 600 MONTGOMERY STREET
STREET 2: SUITE 4500
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
3/A
1
doc3a.xml
FORM 3/A SUBMISSION
X0206
3/A
2016-07-22
2016-07-26
0
0001337553
AERIE PHARMACEUTICALS INC
AERI
0001594912
Foresite Capital Management II, LLC
600 MONTGOMERY STREET
SUITE 4500
SAN FRANCISCO
CA
94111
0
0
1
0
0001594914
Foresite Capital Fund II, L.P.
600 MONTGOMERY STREET
SUITE 4500
SAN FRANCISCO
CA
94111
0
0
1
0
0001645157
Foresite Capital Management III, LLC
600 MONTGOMERY STREET
SUITE 4500
SAN FRANCISCO
CA
94111
0
0
1
0
0001645158
Foresite Capital Fund III, L.P.
600 MONTGOMERY STREEET
SUITE 4500
SAN FRANCISCO
CA
94111
0
0
1
0
0001581754
Tananbaum James B.
3052 PACIFIC AVENUE
SAN FRANCISCO
CA
94115
0
0
1
0
Common Stock
1672714
I
See Footnote
Common Stock
1697884
I
See Footnote
The shares are owned directly by Foresite Capital Fund II, L.P. ("FCF II"). Foresite Capital Management II, LLC ("FCM II"), the general partner of
FCF II, may be deemed to have sole voting and dispositive power over these shares. James B. Tananbaum ("Mr. Tananbaum"), in his capacity
as managing member of FCM II, may be deemed to have sole voting and dispositive power over these shares. Each Reporting Person disclaims
the existence of a "group." Each of FCM II and its members and Mr. Tananbaum disclaims beneficial ownership of any of these shares except to
the extent of any pecuniary interest therein, and the filing of this report is not an admission that FCM II and its members or Mr. Tananbaum is the
beneficial owner of these shares for purposes of Section 16 or any other purpose.
The shares reported in this Form 3 Amendment include 500,000 shares purchased by Foresite Capital Fund II, L.P. and 250,000 shares purchased by Foresite Capital Fund III, L.P. on July 22, 2016. All 750,000 shares were purchased in a single block purchase directly from the Issuer pursuant to an at-the-market sales agreement.
The shares are owned directly by Foresite Capital Fund III, L.P. ("FCF III"). Foresite Capital Management III, LLC ("FCM III"), the general partner of FCF III, may be deemed to have sole voting and dispositive power over these shares. James B. Tananbaum ("Mr. Tananbaum"), in his capacity as managing member of FCM III, may be deemed to have sole voting and dispositive power over these shares. Each Reporting Person disclaims the existence of a "group." Each of FCM III and its members and Mr. Tananbaum disclaims beneficial ownership of any of these shares except to the extent of any pecuniary interest therein, and the filing of this report is not an admission that FCM III and its members or Mr. Tananbaum is the beneficial owner of these shares for purposes of Section 16 or any other purpose.
This Form 3 Amendment amends and restates in its entirety the Form 3 filed on July 26, 2016, which erroneously omitted 250,000 shares then held by Foresite Capital Fund III, L.P. The purchase of those 250,000 shares was erroneously reported on a Form 4 filed on July 26, 2016, which is being amended to reflect that no additional purchases were made by any of the Reporting Persons following the single block purchase on July 22, 2016 pursuant to which the Reporting Persons became 10% owners of the Issuer's stock.
FORESITE CAPITAL MANAGEMENT II, LLC, By: Dennis D. Ryan, Chief Financial Officer
2016-10-07
FORESITE CAPITAL FUND II, L.P., By: Foresite Capital Management II, LLC, Its: General Partner, By: /s/ Dennis D. Ryan, Chief Financial Officer
2016-10-07
FORESITE CAPITAL MANAGEMENT III, LLC, By: /s/ Dennis D. Ryan, Chief Financial Officer
2016-10-07
FORESITE CAPITAL FUND III, L.P., By: Foresite Capital Management III, LLC, Its: General Partner, By: /s/ Dennis D. Ryan, Chief Financial Officer
2016-10-07
/s/ James B. Tananbaum
2016-10-07