Filing Details
- Accession Number:
- 0001209191-17-053020
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-09-15 17:08:17
- Reporting Period:
- 2017-09-13
- Accepted Time:
- 2017-09-15 17:08:17
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1539029 | Clearside Biomedical Inc. | CLSD | Pharmaceutical Preparations (2834) | 452437375 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1592380 | Clay Thorp | C/O Clearside Biomedical, Inc. 900 North Point Parkway, Suite 200 Alpharetta GA 30005 | Yes | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Disposition | 2017-09-13 | 8,500 | $7.49 | 3,887,394 | No | 4 | S | Indirect | See Footnotes |
Common Stock | Disposition | 2017-09-14 | 6,000 | $7.52 | 3,881,394 | No | 4 | S | Indirect | See Footnotes |
Common Stock | Disposition | 2017-09-15 | 10,000 | $7.54 | 3,871,394 | No | 4 | S | Indirect | See Footnotes |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | See Footnotes |
No | 4 | S | Indirect | See Footnotes |
No | 4 | S | Indirect | See Footnotes |
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) 250 shares sold by Hatteras NC Fund, LP ("Hatteras NC"), (ii) 3,260 shares sold by Hatteras Venture Partners III, LP ("HVP III"), (iii) 296 shares sold by Hatteras Venture Affiliates III, LP ("HVA III"), (iv) 527 shares sold by Hatteras Venture Partners IV, LP ("HVP IV") and (v) 4,167 shares sold by Hatteras Venture Partners IV SBIC, LP ("HVP IV SBIC").
- This transaction was executed in multiple trades at prices ranging from $7.395 to $7.69, 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) 176 shares sold by Hatteras NC, (ii) 2,301 shares sold by HVP III, (iii) 209 shares sold by HVA III, (iv) 372 shares sold by HVP IV and (v) 2,942 shares sold by HVP IV SBIC.
- This transaction was executed in multiple trades at prices ranging from $7.32 to $7.68, 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) 294 shares sold by Hatteras NC, (ii) 3,835 shares sold by HVP III, (iii) 348 shares sold by HVA III, (iv) 620 shares sold by HVP IV and (v) 4,903 shares sold by HVP IV SBIC.
- This transaction was executed in multiple trades at prices ranging from $7.32 to $7.68, 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.