0001209191-19-055965.txt : 20191112
0001209191-19-055965.hdr.sgml : 20191112
20191112145230
ACCESSION NUMBER: 0001209191-19-055965
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191107
FILED AS OF DATE: 20191112
DATE AS OF CHANGE: 20191112
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Foresite Capital Management IV, LLC
CENTRAL INDEX KEY: 0001704132
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36152
FILM NUMBER: 191208679
BUSINESS ADDRESS:
STREET 1: 600 MONTGOMERY STREET, SUITE 4500
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-877-4887
MAIL ADDRESS:
STREET 1: 600 MONTGOMERY STREET, SUITE 4500
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Foresite Capital Fund IV, L.P.
CENTRAL INDEX KEY: 0001704131
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36152
FILM NUMBER: 191208680
BUSINESS ADDRESS:
STREET 1: 600 MONTGOMERY STREET, SUITE 4500
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
BUSINESS PHONE: 415-877-4887
MAIL ADDRESS:
STREET 1: 600 MONTGOMERY STREET, SUITE 4500
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94111
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Tananbaum James B.
CENTRAL INDEX KEY: 0001581754
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36152
FILM NUMBER: 191208681
MAIL ADDRESS:
STREET 1: 3052 PACIFIC AVENUE
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94115
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: 4301 EMPEROR BOULEVARD
STREET 2: SUITE 400
CITY: DURHAM
STATE: NC
ZIP: 27703
BUSINESS PHONE: (919) 237-5300
MAIL ADDRESS:
STREET 1: 4301 EMPEROR BOULEVARD
STREET 2: SUITE 400
CITY: DURHAM
STATE: NC
ZIP: 27703
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2019-11-07
0
0001337553
AERIE PHARMACEUTICALS INC
AERI
0001704132
Foresite Capital Management IV, LLC
600 MONTGOMERY STREET
SUITE 4500
SAN FRANCISCO
CA
94111
0
0
1
0
0001704131
Foresite Capital Fund IV, L.P.
600 MONTGOMERY STREET
SUITE 4500
SAN FRANCISCO
CA
94111
0
0
1
0
0001581754
Tananbaum James B.
600 MONTGOMERY STREET
SUITE 4500
SAN FRANCISCO
CA
94111
0
0
1
0
Common Stock
1672714
I
See Footnote
Common Stock
2350477
I
See Footnote
Common Stock
2019-11-07
4
X
0
15000
30.00
A
1415900
I
See Footnote
Put Option (obligation to purchase)
30.00
2019-11-07
4
X
0
150
0.00
D
2019-12-20
Common Stock
15000
855
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 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.
The shares are owned directly by Foresite Capital Fund IV, L.P. ("FCF IV"). Foresite Capital Management IV, LLC ("FCM IV"), the general
partner of FCF IV, may be deemed to have sole voting and dispositive power over these shares. Mr. Tananbaum, in his capacity as managing
member of FCM IV, 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 IV 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 IV and its members or Mr. Tananbaum is
the beneficial owner of these shares for purposes of Section 16 or any other purpose.
The option may be exercised at any time on or prior to the expiration date.
Before the reporting persons became subject to Section 16, FCF IV wrote a put option for 100,500 shares of the Issuer's common stock. The put option was partially exercised by its holder for 15,000 shares. A portion of the short put remains open, and therefore FCF IV may be obligated to purchase an additional 85,500 shares of the Issuer's common stock in the event the holder of the put option elects to exercise the remainder.
The options are owned directly by Foresite Capital Fund IV, L.P. ("FCF IV"). Foresite Capital Management IV, LLC ("FCM IV"), the general partner of FCF IV, may be deemed to have sole voting and dispositive power over these options. James B. Tananbaum ("Mr. Tananbaum"), in his capacity as managing member of FCM IV, may be deemed to have sole voting and dispositive power over these options. Each Reporting Person disclaims the existence of a "group." Each of FCM IV and its members and Mr. Tananbaum disclaims beneficial ownership of any of these options except to the extent of any pecuniary interest therein, and the filing of this report is not an admission that FCM IV and its members or Mr. Tananbaum is the beneficial owner of these options for purposes of Section 16 or any other purpose.
FORESITE CAPITAL MANAGEMENT IV, LLC, By: /s/ James B. Tananbaum, Managing Member
2019-11-12
FORESITE CAPITAL FUND IV, L.P., By: Foresite Capital Management IV, LLC, Its: General Partner, By: /s/ James B. Tananbaum, Managing Member
2019-11-12
/s/ James B. Tananbaum
2019-11-12