0001209191-17-061256.txt : 20171116 0001209191-17-061256.hdr.sgml : 20171116 20171116174108 ACCESSION NUMBER: 0001209191-17-061256 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20171114 FILED AS OF DATE: 20171116 DATE AS OF CHANGE: 20171116 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: 171208985 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 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: GA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 900 NORTH POINT PARKWAY STREET 2: SUITE 200 CITY: ALPHARETTA STATE: 2Q ZIP: 30005 BUSINESS PHONE: 678-270-3631 MAIL ADDRESS: STREET 1: 900 NORTH POINT PARKWAY STREET 2: SUITE 200 CITY: ALPHARETTA STATE: 2Q ZIP: 30005 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-11-14 0 0001539029 Clearside Biomedical, Inc. CLSD 0001592380 Thorp Clay C/O CLEARSIDE BIOMEDICAL, INC. 900 NORTH POINT PARKWAY, SUITE 200 ALPHARETTA GA 30005 1 0 1 0 Common Stock 2017-11-14 4 S 0 15000 7.02 D 3821394 I See Footnotes Common Stock 2017-11-15 4 S 0 15000 6.99 D 3806394 I See Footnotes Common Stock 2017-11-16 4 S 0 5000 6.99 D 3801394 I See Footnotes The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the record holders of the securities on June 12, 2017. Consists of (i) 441 shares sold by Hatteras NC Fund, LP ("Hatteras NC"), (ii) 5,752 shares sold by Hatteras Venture Partners III, LP ("HVP III"), (iii) 522 shares sold by Hatteras Venture Affiliates III, LP ("HVA III"), (iv) 930 shares sold by Hatteras Venture Partners IV, LP ("HVP IV") and (v) 7,355 shares sold by Hatteras Venture Partners IV SBIC, LP ("HVP IV SBIC"). This transaction was executed in multiple trades at prices ranging from $6.90 to $7.36, inclusive. 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 reporting person is one of the general partners of: (i) Hatteras Venture Advisors III, LLC, the general partner of HVP III and HVA III; (ii) Hatteras Venture Advisors IV SBIC, LLC, the general partner of HVP IV SBIC; and (iii) Hatteras Venture Advisors IV, LLC, the general partner of HVP IV and Hatteras NC. HVP III, HVA III, HVP IV SBIC, HVP IV and Hatteras NC are the record holders of the securities, and the reporting person may be deemed to share voting and dispositive power over the securities held by HVP III, HVA III, HVP IV SBIC, HVP IV and Hatteras NC. The reporting person disclaims beneficial ownership of these securities and this report is not an admission that the reporting person 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. Consists of (i) 441 shares sold by Hatteras NC, (ii) 5,752 shares sold by HVP III, (iii) 522 shares sold by HVA III, (iv) 930 shares sold by HVP IV and (v) 7,355 shares sold by HVP IV SBIC. This transaction was executed in multiple trades at prices ranging from $6.84 to $7.16, inclusive. 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. Consists of (i) 147 shares sold by Hatteras NC, (ii) 1,918 shares sold by HVP III, (iii) 174 shares sold by HVA III, (iv) 310 shares sold by HVP IV and (v) 2,451 shares sold by HVP IV SBIC. This transaction was executed in multiple trades at prices ranging from $6.88 to $7.10, inclusive. 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/ Brian F. Leaf, Attorney-in-Fact for Clay Thorp 2017-11-16