A new 13G filing has been submitted to the SEC by Jim Tananbaum‘s Foresite Capital, in relation to the investor’s position in Aerie Pharmaceuticals Inc (NASDAQ:AERI). The filing reveals the latest share ownership information of all relevant parties and subsidiaries of the investor, which amounts to 1.37 million shares. Foresite Capital Fund II and III reported joint ownership of just over 970,000 shares as of the end of December. These 13G filings can prove invaluable to investors, as they show the latest moves made by top investors in stocks which they are or were very bullish on, and in a timely fashion in most cases. You can find the latest such filing embedded below and on the following pages.
You can access the original SEC filing by clicking here.
Ownership Summary Table
| Name | Sole Voting Power | Shared Voting Power | Sole Dispositive Power | Shared Dispositive Power | Aggregate Amount Owned Power | Percent of Class |
|---|---|---|---|---|---|---|
| Foresite Capital Fund II | 844,240 | 844,240 | 844,240 | 3.2% | ||
| Foresite Capital Management II | 844,240 | 844,240 | 844,240 | 3.2% | ||
| Foresite Capital Fund III | 492,203 | 492,203 | 492,203 | 1.9% | ||
| Foresite Capital Management III | 492,203 | 492,203 | 492,203 | 1.9% | ||
| James Tananbaum ( Tananbaum ) | 1,336,443 | 1,336,443 | 1,336,443 | 5.1% |
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Page 1 of 11 SEC Filing
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Schedule 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS
FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b)
(Amendment No. ___________)*
Aerie Pharmaceuticals, Inc.
(Name of
Issuer)
Common Stock
(Title of
Class of Securities)
00771V108
(CUSIP Number)
February 9, 2016
(Date of
Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to
which this Schedule is filed:
| [_] | Rule 13d-1(b) |
| [X] | Rule 13d-1(c) |
| [_] | Rule 13d-1(d) |
*The remainder of this cover page shall be filled out for a
reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment
containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page
shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”)
or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however,
see the Notes).
(Continued on following pages)
Page 1 of 11
Exhibit Index on Page 10
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Page 2 of 11 SEC Filing
CUSIP # 00771V108 Page 2 of 12
| 1 | NAME OF REPORTING PERSONS Foresite Capital Fund II, L.P. (“FCF II”) | ||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_] (b) [X] | ||
| 3 | SEC USE ONLY | ||
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | ||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER 844,240 shares, except that Foresite Capital Management II, LLC (“FCM II”), the general partner of FCF II, may be deemed to have sole power to vote these shares, and James Tananbaum (“Tananbaum”), the managing member of FCM II, may be deemed to have sole power to vote these shares. | |
| 6 | SHARED VOTING POWER See response to row 5. | ||
| 7 | SOLE DISPOSITIVE POWER 844,240 shares, except that FCM II, the general partner of FCF | ||
| 8 | SHARED DISPOSITIVE POWER See response to row 7. | ||
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 844,240 | ||
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] | ||
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.2% | ||
| 12 | TYPE OF REPORTING PERSON PN | ||
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Page 3 of 11 SEC Filing
| 1 | NAME OF REPORTING PERSONS Foresite Capital Management II, LLC (“FCM II”) | ||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_] (b) [X] | ||
| 3 | SEC USE ONLY | ||
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | ||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER 844,240 shares, all of which are directly owned by Foresite Capital Fund II, L.P. (“FCF II”). FCM II, the general partner of FCF II, may be deemed to have sole power to vote these shares, and James Tananbaum (“Tananbaum”), the managing member of FCM II, may be deemed to have sole power to vote these shares. | |
| 6 | SHARED VOTING POWER See response to row 5. | ||
| 7 | SOLE DISPOSITIVE POWER 844,240 shares, all of which are directly owned by FCF II. FCM II, the general partner of FCF II, may be deemed to have sole power to dispose of these shares, and Tananbaum, the managing member of FCM II, may be deemed to have sole power to dispose of these shares. | ||
| 8 | SHARED DISPOSITIVE POWER See response to row 7. | ||
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 844,240 | ||
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] | ||
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.2% | ||
| 12 | TYPE OF REPORTING PERSON OO | ||
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Page 4 of 11 SEC Filing
| 1 | NAME OF REPORTING PERSONS Foresite Capital Fund III, L.P. (“FCF III”) | ||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_] (b) [X] | ||
| 3 | SEC USE ONLY | ||
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | ||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER 492,203 shares, except that Foresite Capital Management III, LLC (“FCM III”), the general partner of FCF III, may be deemed to have sole power to vote these shares, and James Tananbaum (“Tananbaum”), the managing member of FCM III, may be deemed to have sole power to vote these shares. | |
| 6 | SHARED VOTING POWER See response to row 5. | ||
| 7 | SOLE DISPOSITIVE POWER 492,203 shares, except that FCM III, the general partner of FCF III, may be deemed to have sole power to dispose of these shares, and Tananbaum, the managing member of FCM III, may be deemed to have sole power to dispose of these shares. | ||
| 8 | SHARED DISPOSITIVE POWER See response to row 7. | ||
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 492,203 | ||
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] | ||
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 1.9% | ||
| 12 | TYPE OF REPORTING PERSON PN | ||
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Page 5 of 11 SEC Filing
| 1 | NAME OF REPORTING PERSONS Foresite Capital Management III, LLC (“FCM III”) | ||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_] (b) [X] | ||
| 3 | SEC USE ONLY | ||
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | ||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER 492,203 shares, all of which are directly owned by Foresite Capital Fund III, L.P. (“FCF III”). FCM III, the general partner of FCF III, may be deemed to have sole power to vote these shares, and James Tananbaum (“Tananbaum”), the managing member of FCM III, may be deemed to have sole power to vote these shares. | |
| 6 | SHARED VOTING POWER See response to row 5. | ||
| 7 | SOLE DISPOSITIVE POWER 492,203 shares, all of which are directly owned by FCF III. FCM III, the general partner of FCF III, may be deemed to have sole power to dispose of these shares, and Tananbaum, the managing member of FCM III, may be deemed to have sole power to dispose of these shares. | ||
| 8 | SHARED DISPOSITIVE POWER See response to row 7. | ||
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 492,203 | ||
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] | ||
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 1.9% | ||
| 12 | TYPE OF REPORTING PERSON OO | ||
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Page 6 of 11 SEC Filing
| 1 | NAME OF REPORTING PERSONS James Tananbaum (“Tananbaum”) | ||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_] (b) [X] | ||
| 3 | SEC USE ONLY | ||
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION United States | ||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5 | SOLE VOTING POWER 1,336,443 shares, of which 844,240 shares are directly owned by Foresite Capital Fund II, L.P. (“FCF II”), and 492,203 shares are directly owned by Foresite Capital Fund III, L.P. (“FCF III”). Tananbaum is the managing member of each of Foresite Capital Management II, LLC (“FCM II”), which is the general partner of FCF II, and Foresite Capital Management III, LLC (“FCM III”), which is the general partner of FCF III. Tananbaum may be deemed to have sole power to vote these shares. | |
| 6 | SHARED VOTING POWER See response to row 5. | ||
| 7 | SOLE DISPOSITIVE POWER 1,336,443 shares, of which 844,240 shares are directly owned by FCF II, and 492,203 shares are directly owned by FCF III. Tananbaum is the managing member of each FCM II, which is the general partner of FCF II, and FCM III, which is the general partner of FCF III. Tananbaum may be deemed to have sole power to dispose of these shares. | ||
| 8 | SHARED DISPOSITIVE POWER See response to row 7. | ||
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,336,443 | ||
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] | ||
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.1% | ||
| 12 | TYPE OF REPORTING PERSON IN | ||
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Page 7 of 11 SEC Filing
| ITEM 1(A). | NAME OF ISSUER |
Aerie Pharmaceuticals, Inc. (the “Issuer”)
| ITEM 1(B). | ADDRESS OF ISSUER’S PRINCIPAL EXECUTIVE OFFICES |
| 2030 Main Street, Suite 1500 |
| Irvine, California 92614 |
| ITEM 2(A). | NAME OF PERSONS FILING |
| This Schedule is filed by Foresite Capital Fund II, L.P., a Delaware limited partnership, Foresite Capital Management II, LLC, a Delaware limited liability company, Foresite Capital Fund III, L.P., a Delaware limited partnership, Foresite Capital Management III, LLC, a Delaware limited liability company and James Tananbaum. The foregoing entities and individuals are collectively referred to as the “Reporting Persons.” |
| ITEM 2(B). | ADDRESS OF PRINCIPAL OFFICE |
The address for each of the Reporting
Persons is:
c/o Foresite Capital Management
101 California Street, Suite 4100
San Francisco, CA 94111
| ITEM 2(C). | CITIZENSHIP |
See Row 4 of cover page for each Reporting Person.
| ITEM 2(D). | TITLE OF CLASS OF SECURITIES |
| Common Stock |
| ITEM 2(D) | CUSIP NUMBER |
| 00771V108 |
| ITEM 3. | If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: |
| Not applicable. |
| ITEM 4. | OWNERSHIP |
The following information with respect
to the ownership of the common stock of the Issuer by the persons filing this Statement is provided as of February 18, 2016:
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Page 8 of 11 SEC Filing
| (a) | Amount beneficially owned: |
See Row 9 of cover page for each Reporting
Person.
| (b) | Percent of Class: |
See Row 11 of cover page for each
Reporting Person.
| (c) | Number of shares as to which such person has: |
| (i) | Sole power to vote or to direct the vote: |
See Row 5 of cover page for each Reporting
Person.
| (ii) | Shared power to vote or to direct the vote: |
See Row 6 of cover page for each
Reporting Person.
| (iii) | Sole power to dispose or to direct the disposition of: |
See Row 7 of cover page for each
Reporting Person.
| (iv) | Shared power to dispose or to direct the disposition of: |
See Row 8 of cover page for each
Reporting Person.
| ITEM 5. | OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS |
| Not applicable. |
| ITEM 6. | OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. |
| Under certain circumstances set forth in the limited partnership agreements of FCF II and FCF III and the limited liability company agreements of FCM II and FCM III the partners or members, as the case may be, of each of such entities may be deemed to have the right to receive dividends from, or the proceeds from the sale of, shares of the Issuer directly or indirectly owned by each such entity of which they are a partner or member. |
| ITEM 7. | IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY |
| Not applicable. |
| ITEM 8. | IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. |
| Not applicable |
| ITEM 9. | NOTICE OF DISSOLUTION OF GROUP. |
| Not applicable |
| ITEM 10. | CERTIFICATION. |
| By signing below, I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under § 240.14a-11. |
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Page 9 of 11 SEC Filing
SIGNATURES
After reasonable inquiry and to the best of
my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
| Date: | February 19, 2016 | |||
| FORESITE CAPITAL FUND II, L.P. | ||||
| By: | FORESITE CAPITAL MANAGEMENT II, LLC | |||
| Its: | General Partner | |||
| By: | /s/ James Tananbaum | |||
| Name: | James Tananbaum | |||
| Title: | Managing Member | |||
| FORESITE CAPITAL MANAGEMENT II, LLC | ||||
| By: | /s/ James Tananbaum | |||
| Name: | James Tananbaum | |||
| Title: | Managing Member | |||
| FORESITE CAPITAL FUND III, L.P. | ||||
| By: | FORESITE CAPITAL MANAGEMENT III, LLC | |||
| Its: | General Partner | |||
| By: | /s/ James Tananbaum | |||
| Name: | James Tananbaum | |||
| Title: | Managing Member | |||
| FORESITE CAPITAL MANAGEMENT III, LLC | ||||
| By: | /s/ James Tananbaum | |||
| Name: | James Tananbaum | |||
| Title: | Managing Member | |||
| JAMES TANANBAUM | ||||
| By: | /s/ James Tananbaum | |||
| Name: | James Tananbaum | |||
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Page 10 of 11 SEC Filing
EXHIBIT INDEX
| Found on Sequentially | |
| Exhibit | Numbered Page |
| Exhibit A: Agreement of Joint Filing | 11 |
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Page 11 of 11 SEC Filing
exhibit A
Agreement of Joint Filing
The undersigned hereby
agree that a single Schedule 13G (or any amendment thereto) relating to the common stock of the Issuer shall be filed on behalf
of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13G.
| Date: | February 19, 2016 | |||
| FORESITE CAPITAL FUND II, L.P. | ||||
| By: | FORESITE CAPITAL MANAGEMENT II, LLC | |||
| Its: | General Partner | |||
| By: | /s/ James Tananbaum | |||
| Name: | James Tananbaum | |||
| Title: | Managing Member | |||
| FORESITE CAPITAL MANAGEMENT II, LLC | ||||
| By: | /s/ James Tananbaum | |||
| Name: | James Tananbaum | |||
| Title: | Managing Member | |||
| FORESITE CAPITAL FUND III, L.P. | ||||
| By: | FORESITE CAPITAL MANAGEMENT III, LLC | |||
| Its: | General Partner | |||
| By: | /s/ James Tananbaum | |||
| Name: | James Tananbaum | |||
| Title: | Managing Member | |||
| FORESITE CAPITAL MANAGEMENT III, LLC | ||||
| By: | /s/ James Tananbaum | |||
| Name: | James Tananbaum | |||
| Title: | Managing Member | |||
| JAMES TANANBAUM | ||||
| By: | /s/ James Tananbaum | |||
| Name: | James Tananbaum | |||
