0001209191-19-059392.txt : 20191205 0001209191-19-059392.hdr.sgml : 20191205 20191205190319 ACCESSION NUMBER: 0001209191-19-059392 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191126 FILED AS OF DATE: 20191205 DATE AS OF CHANGE: 20191205 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: 191271426 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: 191271427 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: 191271428 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 2019-11-26 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 2019-11-26 4 X 0 4400 30.00 A 1445900 I See Footnote Common Stock 2019-12-03 4 X 0 26600 30.00 A 1472500 I See Footnote Put Option (obligation to purchase) 30.00 2019-11-26 4 X 0 44 0.00 D 2019-12-20 Common Stock 4400 555 I See Footnote Put Option (obligation to purchase) 30.00 2019-12-03 4 X 0 266 0.00 D 2019-12-20 Common Stock 26600 289 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 has now been exercised for an aggregate of 45,000 shares. A portion of the short put remains open, and therefore FCF IV may be obligated to purchase an additional 55,500 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. 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 has now been exercised for an aggregate of 71,600 shares. A portion of the short put remains open, and therefore FCF IV may be obligated to purchase an additional 28,900 shares of the Issuer's common stock in the event the holder of the put option elects to exercise the remainder. FORESITE CAPITAL MANAGEMENT IV, LLC, By: /s/ James B. Tananbaum, Managing Member 2019-12-05 FORESITE CAPITAL FUND IV, L.P., By: Foresite Capital Management IV, LLC, Its: General Partner, By: /s/ James B. Tananbaum, Managing Member 2019-12-05 /s/ James B. Tananbaum 2019-12-05