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Filing Details

Accession Number:: 0001012975-15-000076
Form Type:: 4/A
Zero Holdings:: No
Publication Time:: 2015-01-30 17:39:45
Reporting Period:: 2013-10-25

Filing Date:: 2015-01-30
Accepted Time:: 2015-01-30 17:39:45
Original Submission Date:: 2013-10-28
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1337553	Aerie Pharmaceuticals Inc	AERI	Biological Products, (No Disgnostic Substances) (2836)	203109565

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
1166285	Michael Steinmetz	C/O Clarus Ventures, Llc 101 Main Street, Suite 1210 Cambridge MA 02142	No	No	Yes	No
1249153	Dennis Henner	C/O Clarus Ventures, Llc 101 Main Street, Suite 1210 Cambridge MA 02142	Yes	No	Yes	No
1252522	Nicholas Galakatos	C/O Clarus Ventures, Llc 101 Main Street, Suite 1210 Cambridge MA 02142	No	No	Yes	No
1252523	Robert Liptak	C/O Clarus Ventures, Llc 101 Main Street, Suite 1210 Cambridge MA 02142	No	No	Yes	No
1252525	Kurt Wheeler	C/O Clarus Ventures, Llc 101 Main Street, Suite 1210 Cambridge MA 02142	No	No	Yes	No
1431403	Nicholas Simon	C/O Clarus Ventures, Llc 101 Main Street, Suite 1210 Cambridge MA 02142	No	No	Yes	No
1431437	Clarus Ventures Ii, Llc	C/O Clarus Ventures, Llc 101 Main Street, Suite 1210 Cambridge MA 02142	No	No	Yes	No
1431439	Clarus Ventures Ii Gp, L.p.	C/O Clarus Ventures, Llc 101 Main Street, Suite 1210 Cambridge MA 02142	No	No	Yes	No
1431443	Clarus Lifesciences Ii, L.p.	C/O Clarus Ventures, Llc 101 Main Street, Suite 1210 Cambridge MA 02142	No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2013-10-25	321,000	$10.00	3,468,494	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Series B Preferred Stock	Series B Preferred Warrant	Disposition	2013-10-25	184,812	$0.00	184,812	$0.05
Common Stock	Common Stock Warrant	Acquisiton	2013-10-25	184,812	$0.00	184,812	$0.05

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2019-12-07	No	4	C	Direct
0		2019-12-07	No	4	C	Direct

Footnotes

This amendment is being filed to correct erroneous lines in the October 28, 2013 Form 4. It reflects: (i) the correction of the transaction in Table II, which was erroneously labeled as a conversion of Series B Preferred Warrants to Common Stock, rather than correctly disclosed as the conversion of Series B Preferred Warrants to Common Stock Warrants; (ii) the deletion of the third line of Table I to reflect that the aforementioned Series B Preferred Warrants were not converted into Common Stock; and (iii) the correct amount of securities beneficially owned following the reported transactions, in line 4 of Table I, after this amendment.
Securities held of record by Clarus Lifesciences II, L.P. ("Clarus"). Clarus Ventures II GP, L.P. (the "GPLP"), as the sole general partner of Clarus, may be deemed to beneficially own certain of the shares held of record by Clarus. The GPLP disclaims beneficial ownership of all shares held of record by Clarus in which the GPLP does not have an actual pecuniary interest. Clarus Ventures II, LLC (the "GPLLC"), as the sole general partner of the GPLP, may be deemed to beneficially own certain of the shares held of record by Clarus. Each of Messrs. Galakatos, Henner, Liptak, Simon, Steinmetz and Wheeler, as individual Managing Directors of the GPLLC, may be deemed to beneficially own certain of the shares held of record by Clarus. Each of the GPLLC and Messrs. Galakatos, Henner, Liptak, Simon, Steinmetz and Wheeler disclaims beneficial ownership of all shares held of record by Clarus in which it or he, as applicable, does not have an actual pecuniary interest.
The warrants were immediately exercisable.
The warrants were immediately exercisable.