Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Clearside Biomedical, Inc.CLSD · Entity 82875 | Director | February 24, 2025 | February 24, 2025 |
| G1 Therapeutics, Inc.GTHX · Entity 87413 | 10% owner | May 30, 2018 | June 01, 2018 |
| PhaseBio Pharmaceuticals IncPHAS · Entity 113305 | Director | May 19, 2023 | May 19, 2023 |
| Vigil Neuroscience, Inc.VIGL · Entity 11675 | Director | May 16, 2022 | May 17, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Clearside Biomedical, Inc.
Report date February 24, 2025 · Filed February 24, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 176,141 |
Reported balance
After 2025-02-24 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2025-02-24 · Purchase · Acquired 15,000 · Balance 176,141 F1: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.90 to $0.9321 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2: Includes an aggregate of 120,619 shares received as a pro rata distribution from Hatteras Venture Advisors III, LLC, Hatteras Venture Advisors IV SBIC, LLC, Hatteras Venture Advisors IV, LLC and Hatteras NC Fund, LP (the "Hatteras Entities"). In prior reports, the reporting person reported indirect beneficial ownership of 3,545,040 shares of the Issuer's common stock held by the Hatteras Entities. |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.90 to $0.9321 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.
F2: Includes an aggregate of 120,619 shares received as a pro rata distribution from Hatteras Venture Advisors III, LLC, Hatteras Venture Advisors IV SBIC, LLC, Hatteras Venture Advisors IV, LLC and Hatteras NC Fund, LP (the "Hatteras Entities"). In prior reports, the reporting person reported indirect beneficial ownership of 3,545,040 shares of the Issuer's common stock held by the Hatteras Entities.
G1 Therapeutics, Inc.
Report date May 30, 2018 · Filed June 01, 2018
Jointly reported with Hatteras Venture Advisors IV SBIC, LLC, Hatteras Venture Partners IV SBIC, LP, INGRAM ROBERT ALEXANDER, Crumpler John, LEE KENNETH B JR, Reed Douglas MD
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 3,279,421 |
Reported balance
After 2018-05-30 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2018-05-30 · Sale · Disposed 758,290 · Balance 3,279,421 F1: Following the reported transaction, in which none of the reportable securities owned directly by Hatteras Venture Advisors V, LLC ("HVA V") were sold, 995 shares of the reportable securities are owned directly by HVA V. The securities directly held by HVA V are indirectly held by the individual managing members of HVA V (each, a "Managing Member" and collectively, the "Managing Members"). The Managing Members are John Crumpler, Clay Thorp, Christy Shaffer, Douglas Reed and Robert Ingram. The Managing Members may share voting and dispositive power over the securities directly held by HVA V. Each Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his or her pecuniary interest therein. F2: Following the reported transaction, 3,067,962 shares of the reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC ("HVA IV SBIC") is the general partner of HVP IV. The securities directly held by HVP IV are indirectly held by the individual managing members of HVA IV SBIC (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member 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. F3: Following the reported transaction, in which none of the reportable securities owned directly by Hatteras NC Fund, LP ("Hatteras NC") were sold, 210,464 shares of the reportable securities are owned directly by Hatteras NC. Hatteras Venture Advisors IV, LLC ("HVA IV") is the general partner of Hatteras NC. The securities directly held by Hatteras NC are indirectly held by the individual managing members of HVA IV (each, a "HVA IV Managing Member"). The HVA IV Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The HVA IV Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each HVA IV Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any HVA IV Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his or her pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 3,237,711 |
Reported balance
After 2018-05-30 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2018-05-30 · Sale · Disposed 41,710 · Balance 3,237,711 F1: Following the reported transaction, in which none of the reportable securities owned directly by Hatteras Venture Advisors V, LLC ("HVA V") were sold, 995 shares of the reportable securities are owned directly by HVA V. The securities directly held by HVA V are indirectly held by the individual managing members of HVA V (each, a "Managing Member" and collectively, the "Managing Members"). The Managing Members are John Crumpler, Clay Thorp, Christy Shaffer, Douglas Reed and Robert Ingram. The Managing Members may share voting and dispositive power over the securities directly held by HVA V. Each Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his or her pecuniary interest therein. F4: Following the reported transaction, 168,754 shares of the reportable securities are owned directly by Hatteras NC. F5: Following the reported transaction, in which none of the reportable securities owned directly by HVP IV were sold, 3,067,962 shares of the reportable securities are owned directly by HVP IV. |
Filing footnotes · ownership attribution and instrument terms
F1: Following the reported transaction, in which none of the reportable securities owned directly by Hatteras Venture Advisors V, LLC ("HVA V") were sold, 995 shares of the reportable securities are owned directly by HVA V. The securities directly held by HVA V are indirectly held by the individual managing members of HVA V (each, a "Managing Member" and collectively, the "Managing Members"). The Managing Members are John Crumpler, Clay Thorp, Christy Shaffer, Douglas Reed and Robert Ingram. The Managing Members may share voting and dispositive power over the securities directly held by HVA V. Each Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his or her pecuniary interest therein.
F2: Following the reported transaction, 3,067,962 shares of the reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC ("HVA IV SBIC") is the general partner of HVP IV. The securities directly held by HVP IV are indirectly held by the individual managing members of HVA IV SBIC (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member 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.
F3: Following the reported transaction, in which none of the reportable securities owned directly by Hatteras NC Fund, LP ("Hatteras NC") were sold, 210,464 shares of the reportable securities are owned directly by Hatteras NC. Hatteras Venture Advisors IV, LLC ("HVA IV") is the general partner of Hatteras NC. The securities directly held by Hatteras NC are indirectly held by the individual managing members of HVA IV (each, a "HVA IV Managing Member"). The HVA IV Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The HVA IV Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each HVA IV Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any HVA IV Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his or her pecuniary interest therein.
F4: Following the reported transaction, 168,754 shares of the reportable securities are owned directly by Hatteras NC.
F5: Following the reported transaction, in which none of the reportable securities owned directly by HVP IV were sold, 3,067,962 shares of the reportable securities are owned directly by HVP IV.
PhaseBio Pharmaceuticals Inc
Report date May 19, 2023 · Filed May 19, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 36,693 |
Reported balance
After 2023-05-19 transaction · row 1
1 source rowRow 1 · 2023-05-19 · Exercise / conversion · Acquired 3,750 · Balance 36,693 F1: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of PhaseBio Pharmaceuticals, Inc. common stock. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-05-19 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-05-19 · Exercise / conversion · Acquired 3,750 · Balance 0 F1: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of PhaseBio Pharmaceuticals, Inc. common stock. F4: The RSUs vested and were delivered to the Reporting Person on the one-year anniversary of the grant date, subject to the Reporting Person's continuous service through such date. |
| Common StockSEC Table I · non-derivative | IndirectSee footnote | 3,545,040 |
Reported balance
Holding disclosure · report date 2023-05-19 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 3,545,040 F2: 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 Hatteras Venture Partners IV, LP ("HVP IV") and Hatteras NC Fund, LP ("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. F3: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of PhaseBio Pharmaceuticals, Inc. common stock.
F2: 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 Hatteras Venture Partners IV, LP ("HVP IV") and Hatteras NC Fund, LP ("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.
F3: 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.
F4: The RSUs vested and were delivered to the Reporting Person on the one-year anniversary of the grant date, subject to the Reporting Person's continuous service through such date.
Vigil Neuroscience, Inc.
Report date May 16, 2022 · Filed May 17, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Hatteras Venture Partners VI, L.P. | 1,556,030 |
Last balance in matching sequence
After 2022-05-17 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2022-05-16 · Purchase · Acquired 21,802 · Balance 1,541,137 F1: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.50 to $2.85, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price at which the transactions were effected. F2: These shares are held directly by Hatteras Venture Partners VI, L.P. ("Hatteras VI"). Hatteras Venture Advisors VI, LLC ("HVA VI") is the general partner of Hatteras VI. The Reporting Person is a managing member of HVA VI and disclaims beneficial ownership of the shares held by Hatteras VI except to the extent of his pecuniary interest therein, if any. Row 2 · 2022-05-17 · Purchase · Acquired 14,893 · Balance 1,556,030 F3: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.76 to $3.10, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price at which the transactions were effected. F2: These shares are held directly by Hatteras Venture Partners VI, L.P. ("Hatteras VI"). Hatteras Venture Advisors VI, LLC ("HVA VI") is the general partner of Hatteras VI. The Reporting Person is a managing member of HVA VI and disclaims beneficial ownership of the shares held by Hatteras VI except to the extent of his pecuniary interest therein, if any. |
| Common StockSEC Table I · non-derivative | Direct | 3,000 |
Reported balance
Holding disclosure · report date 2022-05-16 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 3,000 |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.50 to $2.85, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price at which the transactions were effected.
F2: These shares are held directly by Hatteras Venture Partners VI, L.P. ("Hatteras VI"). Hatteras Venture Advisors VI, LLC ("HVA VI") is the general partner of Hatteras VI. The Reporting Person is a managing member of HVA VI and disclaims beneficial ownership of the shares held by Hatteras VI except to the extent of his pecuniary interest therein, if any.
F3: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $2.76 to $3.10, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price at which the transactions were effected.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 05, 2017 Filed Dec 7, 2017 22:10 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 15,000 | $6.37 | $95,550.00 |
DisclosureSEC source: 0001209191-17-064491 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,786,394 F1 · kind: 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. F2 · shares: Consists of (i) 13,751 shares sold by Hatteras Venture Partners III, LP ("HVP III") and (ii) 1,249 shares sold by Hatteras Venture Affiliates III, LP ("HVA III"). F3 · price: This transaction was executed in multiple trades at prices ranging from $6.155 to $6.85, 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. F4 · ownership.nature: 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 Hatteras Venture Partners IV SBIC, LP; and (iii) Hatteras Venture Advisors IV, LLC, the general partner of Hatteras Venture Partners IV, LP and Hatteras NC Fund, LP. HVP III, HVA III, Hatteras Venture Partners IV SBIC, LP, Hatteras Venture Partners IV, LP and Hatteras NC Fund, LP 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, Hatteras Venture Partners IV SBIC, LP, Hatteras Venture Partners IV, LP and Hatteras NC Fund, LP. F5 · ownership.nature: 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. Read SEC document |
| November 30, 2017 Filed Dec 4, 2017 17:01 UTC | G1 Therapeutics, Inc. GTHX · Entity 87413 | OtherCommon Stock | 995 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-063608 · doc4.xml · nonDerivative · entry 2 Thorp Clay · CIK 0001592380 · 10% owner Hatteras Venture Advisors IV SBIC, LLC · CIK 0001675236 · 10% owner Hatteras Venture Partners IV SBIC, LP · CIK 0001675232 · 10% owner INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner Crumpler John · CIK 0001674107 · 10% owner LEE KENNETH B JR · CIK 0001208570 · 10% owner Reed Douglas MD · CIK 0001291262 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,075,211 F5 · price: In-kind distribution from L2 Ventures, LLC to its members, including Hatteras Venture Advisors V, LLC, without consideration. F2 · ownership.nature: 3,861,797 shares of the reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC ("HVA IV SBIC") is the general partner of HVP IV. The securities directly held by HVP IV are indirectly held by the individual managing members of HVA IV SBIC (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member 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. F3 · ownership.nature: 212,419 shares of the reportable securities are owned directly by Hatteras NC Fund, LP ("Hatteras NC"). Hatteras Venture Advisors IV, LLC ("HVA IV") is the general partner of Hatteras NC Fund, LP. The securities directly held by Hatteras NC are indirectly held by the individual managing members of HVA IV (each, a "HVA IV Managing Member" and collectively, the "HVA IV Managing Members"). The HVA IV Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The HVA IV Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each HVA IV Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any HVA IV Managing Member 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. F6 · ownership.nature: 995 shares of the reportable securities are owned directly by Hatteras Venture Advisors V, LLC ("HVA V"). The securities directly held by HVA V are indirectly held by the individual managing members of HVA V (each, a "Managing Member" and collectively, the "Managing Members"). The Managing Members are John Crumpler, Clay Thorp, Christy Shaffer, Douglas Reed and Robert Ingram. The Managing Members may share voting and dispositive power over the securities directly held by HVA V. Each Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any Managing Member is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his or her pecuniary interest therein. Read SEC document |
| November 30, 2017 Filed Dec 4, 2017 17:01 UTC | G1 Therapeutics, Inc. GTHX · Entity 87413 | OtherCommon Stock | 99,513 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-063608 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · 10% owner Hatteras Venture Advisors IV SBIC, LLC · CIK 0001675236 · 10% owner Hatteras Venture Partners IV SBIC, LP · CIK 0001675232 · 10% owner INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner Crumpler John · CIK 0001674107 · 10% owner LEE KENNETH B JR · CIK 0001208570 · 10% owner Reed Douglas MD · CIK 0001291262 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,074,216 F1 · price: In-kind distribution from L2 Ventures, LLC to its members, without consideration. F2 · ownership.nature: 3,861,797 shares of the reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC ("HVA IV SBIC") is the general partner of HVP IV. The securities directly held by HVP IV are indirectly held by the individual managing members of HVA IV SBIC (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member 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. F3 · ownership.nature: 212,419 shares of the reportable securities are owned directly by Hatteras NC Fund, LP ("Hatteras NC"). Hatteras Venture Advisors IV, LLC ("HVA IV") is the general partner of Hatteras NC Fund, LP. The securities directly held by Hatteras NC are indirectly held by the individual managing members of HVA IV (each, a "HVA IV Managing Member" and collectively, the "HVA IV Managing Members"). The HVA IV Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The HVA IV Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each HVA IV Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any HVA IV Managing Member 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. F4 · ownership.nature: Following a distribution in-kind to its members, none of the reportable securities are owned directly by L2 Ventures, LLC ("L2 Ventures"). Hatteras Venture Advisors V, LLC ("HVA V") is the general partner of L2 Ventures. The securities previously held by L2 Ventures were indirectly held by the individual managing members of HVA V (each, a "L2 Managing Member" and collectively, the "L2 Managing Members"). The L2 Managing Members are John Crumpler, Clay Thorp, Christy Shaffer, Douglas Reed and Robert Ingram. Read SEC document |
| November 16, 2017 Filed Nov 16, 2017 22:41 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 5,000 | $6.99 | $34,950.00 |
DisclosureSEC source: 0001209191-17-061256 · doc4.xml · nonDerivative · entry 3 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,801,394 F1 · kind: 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. F8 · shares: 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. F9 · price: 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| November 15, 2017 Filed Nov 16, 2017 22:41 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 15,000 | $6.99 | $104,850.00 |
DisclosureSEC source: 0001209191-17-061256 · doc4.xml · nonDerivative · entry 2 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,806,394 F1 · kind: 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. F6 · shares: 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. F7 · price: 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| November 14, 2017 Filed Nov 16, 2017 22:41 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 15,000 | $7.02 | $105,300.00 |
DisclosureSEC source: 0001209191-17-061256 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,821,394 F1 · kind: 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. F2 · shares: 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"). F3 · price: 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| October 05, 2017 Filed Oct 5, 2017 23:35 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 6,000 | $8.34 | $50,040.00 |
DisclosureSEC source: 0001209191-17-056207 · doc4.xml · nonDerivative · entry 3 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,836,394 F1 · kind: 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. F8 · shares: 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. F9 · price: This transaction was executed in multiple trades at prices ranging from $8.05 to $8.46, 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| October 04, 2017 Filed Oct 5, 2017 23:35 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 14,000 | $8.59 | $120,260.00 |
DisclosureSEC source: 0001209191-17-056207 · doc4.xml · nonDerivative · entry 2 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,842,394 F1 · kind: 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. F6 · shares: Consists of (i) 412 shares sold by Hatteras NC, (ii) 5,369 shares sold by HVP III, (iii) 487 shares sold by HVA III, (iv) 868 shares sold by HVP IV and (v) 6,864 shares sold by HVP IV SBIC. F7 · price: This transaction was executed in multiple trades at prices ranging from $8.33 to $8.975, 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| October 03, 2017 Filed Oct 5, 2017 23:35 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 15,000 | $8.64 | $129,600.00 |
DisclosureSEC source: 0001209191-17-056207 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,856,394 F1 · kind: 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. F2 · shares: 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"). F3 · price: This transaction was executed in multiple trades at prices ranging from $8.37 to $9.09, 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| September 15, 2017 Filed Sep 15, 2017 21:08 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 10,000 | $7.54 | $75,400.00 |
DisclosureSEC source: 0001209191-17-053020 · doc4.xml · nonDerivative · entry 3 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,871,394 F1 · kind: 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. F8 · shares: 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. F9 · price: 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| September 14, 2017 Filed Sep 15, 2017 21:08 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 6,000 | $7.52 | $45,120.00 |
DisclosureSEC source: 0001209191-17-053020 · doc4.xml · nonDerivative · entry 2 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,881,394 F1 · kind: 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. F6 · shares: 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. F7 · price: 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| September 13, 2017 Filed Sep 15, 2017 21:08 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 8,500 | $7.49 | $63,665.00 |
DisclosureSEC source: 0001209191-17-053020 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,887,394 F1 · kind: 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. F2 · shares: 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"). F3 · price: 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| August 09, 2017 Filed Aug 9, 2017 21:48 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 15,000 | $7.30 | $109,500.00 |
DisclosureSEC source: 0001209191-17-048314 · doc4.xml · nonDerivative · entry 3 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,895,894 F1 · kind: 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. F8 · shares: 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. F9 · price: This transaction was executed in multiple trades at prices ranging from $6.42 to $7.87, 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| August 08, 2017 Filed Aug 9, 2017 21:48 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 5,000 | $7.98 | $39,900.00 |
DisclosureSEC source: 0001209191-17-048314 · doc4.xml · nonDerivative · entry 2 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,910,894 F1 · kind: 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. F6 · shares: Consists of (i) 147 shares sold by Hatteras NC, (ii) 1,917 shares sold by HVP III, (iii) 174 shares sold by HVA III, (iv) 310 shares sold by HVP IV and (v) 2,452 shares sold by HVP IV SBIC. F7 · price: This transaction was executed in multiple trades at prices ranging from $7.86 to $8.11, 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| August 07, 2017 Filed Aug 9, 2017 21:48 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 4,500 | $8.02 | $36,090.00 |
DisclosureSEC source: 0001209191-17-048314 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,915,894 F1 · kind: 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. F2 · shares: Consists of (i) 132 shares sold by Hatteras NC Fund, LP ("Hatteras NC"), (ii) 1,726 shares sold by Hatteras Venture Partners III, LP ("HVP III"), (iii) 157 shares sold by Hatteras Venture Affiliates III, LP ("HVA III"), (iv) 279 shares sold by Hatteras Venture Partners IV, LP ("HVP IV") and (v) 2,206 shares sold by Hatteras Venture Partners IV SBIC, LP ("HVP IV SBIC"). F3 · price: This transaction was executed in multiple trades at prices ranging from $7.96 to $8.13, 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| June 30, 2017 Filed Jul 5, 2017 22:21 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | GrantStock Option (right to buy) · Derivative | 2,632 | $0.00 Strike: $9.11 | $0.00 |
DisclosureSEC source: 0001209191-17-043655 · doc4.xml · derivative · entry 1 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,632 Underlying: Common Stock · 2,632 shares Expires 2027-06-29 F1 · derivative.exercise_date: The shares underlying this option vest in full on the earlier of the Issuer's next annual meeting of stockholders or June 30, 2018. Read SEC document |
| June 22, 2017 Filed Jun 23, 2017 20:38 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | GrantStock Option (right to buy) · Derivative | 8,618 | $0.00 Strike: $8.81 | $0.00 |
DisclosureSEC source: 0001209191-17-041678 · doc4.xml · derivative · entry 1 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,618 Underlying: Common Stock · 8,618 shares Expires 2027-06-21 F1 · derivative.exercise_date: The shares underlying this option vest in full on the earlier of the Issuer's next annual meeting of stockholders or June 22, 2018. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:18 UTC | G1 Therapeutics, Inc. GTHX · Entity 87413 | ConversionSeries C Preferred Stock · Derivative | 1,009,693 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-035173 · doc4.xml · derivative · entry 8 Thorp Clay · CIK 0001592380 · 10% owner Hatteras Venture Advisors IV SBIC, LLC · CIK 0001675236 · 10% owner Hatteras Venture Partners IV SBIC, LP · CIK 0001675232 · 10% owner Crumpler John · CIK 0001674107 · 10% owner INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner LEE KENNETH B JR · CIK 0001208570 · 10% owner Reed Douglas MD · CIK 0001291262 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 336,563 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F1 · price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F6 · derivative.exercise_date: The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date. F6 · derivative.expiration_date: The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date. F2 · ownership.nature: The reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC ("HVA IV SBIC") is the general partner of HVP IV. The securities directly held by HVP IV are indirectly held by the individual managing members of HVA IV SBIC (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member 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. F4 · ownership.nature: The reportable securities are owned directly by L2 Ventures, LLC ("L2 Ventures"). Hatteras Venture Advisors V, LLC ("HVA V") is the general partner of L2 Ventures. The securities directly held by L2 Ventures are indirectly held by the individual managing members of HVA V (each, a "L2 Managing Member" and collectively, the "L2 Managing Members"). The L2 Managing Members are John Crumpler, Clay Thorp, Christy Shaffer, Douglas Reed and Robert Ingram. The L2 Managing Members may share voting and dispositive power over the securities directly held by HVA V. Each L2 Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any L2 Managing Member 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. F9 · ownership.nature: Includes shares of Series C Preferred Stock convertible into 294,493 shares of the Issuer's common stock held by HVP IV and shares of Series C Preferred Stock convertible into 42,070 shares of the Issuer's common stock held by L2 Ventures, LLC. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:18 UTC | G1 Therapeutics, Inc. GTHX · Entity 87413 | ConversionSeries B Preferred Stock · Derivative | 2,584,959 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-035173 · doc4.xml · derivative · entry 7 Thorp Clay · CIK 0001592380 · 10% owner Hatteras Venture Advisors IV SBIC, LLC · CIK 0001675236 · 10% owner Hatteras Venture Partners IV SBIC, LP · CIK 0001675232 · 10% owner Crumpler John · CIK 0001674107 · 10% owner INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner LEE KENNETH B JR · CIK 0001208570 · 10% owner Reed Douglas MD · CIK 0001291262 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 861,651 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F1 · price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F6 · derivative.exercise_date: The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date. F6 · derivative.expiration_date: The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date. F2 · ownership.nature: The reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC ("HVA IV SBIC") is the general partner of HVP IV. The securities directly held by HVP IV are indirectly held by the individual managing members of HVA IV SBIC (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member 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. F4 · ownership.nature: The reportable securities are owned directly by L2 Ventures, LLC ("L2 Ventures"). Hatteras Venture Advisors V, LLC ("HVA V") is the general partner of L2 Ventures. The securities directly held by L2 Ventures are indirectly held by the individual managing members of HVA V (each, a "L2 Managing Member" and collectively, the "L2 Managing Members"). The L2 Managing Members are John Crumpler, Clay Thorp, Christy Shaffer, Douglas Reed and Robert Ingram. The L2 Managing Members may share voting and dispositive power over the securities directly held by HVA V. Each L2 Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any L2 Managing Member 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. F8 · ownership.nature: Includes shares of Series B Preferred Stock convertible into 804,208 shares of the Issuer's common stock held by HVP IV and shares of Series B Preferred Stock convertible into 57,443 shares of the Issuer's common stock held by L2 Ventures, LLC. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:18 UTC | G1 Therapeutics, Inc. GTHX · Entity 87413 | ConversionSeries A Preferred Stock · Derivative | 6,568,527 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-035173 · doc4.xml · derivative · entry 6 Thorp Clay · CIK 0001592380 · 10% owner Hatteras Venture Advisors IV SBIC, LLC · CIK 0001675236 · 10% owner Hatteras Venture Partners IV SBIC, LP · CIK 0001675232 · 10% owner Crumpler John · CIK 0001674107 · 10% owner INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner LEE KENNETH B JR · CIK 0001208570 · 10% owner Reed Douglas MD · CIK 0001291262 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 2,189,508 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F1 · price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F6 · derivative.exercise_date: The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date. F6 · derivative.expiration_date: The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date. F2 · ownership.nature: The reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC ("HVA IV SBIC") is the general partner of HVP IV. The securities directly held by HVP IV are indirectly held by the individual managing members of HVA IV SBIC (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member 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. F3 · ownership.nature: The reportable securities are owned directly by Hatteras NC Fund, LP ("Hatteras NC"). Hatteras Venture Advisors IV, LLC ("HVA IV") is the general partner of Hatteras NC Fund, LP. The securities directly held by Hatteras NC are indirectly held by the individual managing members of HVA IV (each, a "HVA IV Managing Member" and collectively, the "HVA IV Managing Members"). The HVA IV Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The HVA IV Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each HVA IV Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any HVA IV Managing Member 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. F7 · ownership.nature: Includes shares of Series A Preferred Stock convertible into 1,990,276 shares of the Issuer's common stock held by HVP IV and shares of Series A Preferred Stock convertible into 199,232 shares of the Issuer's common stock held by Hatteras NC. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:18 UTC | G1 Therapeutics, Inc. GTHX · Entity 87413 | ConversionSeries 1 Preferred Stock · Derivative | 1,318,681 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-035173 · doc4.xml · derivative · entry 5 Thorp Clay · CIK 0001592380 · 10% owner Hatteras Venture Advisors IV SBIC, LLC · CIK 0001675236 · 10% owner Hatteras Venture Partners IV SBIC, LP · CIK 0001675232 · 10% owner Crumpler John · CIK 0001674107 · 10% owner INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner LEE KENNETH B JR · CIK 0001208570 · 10% owner Reed Douglas MD · CIK 0001291262 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 439,560 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F1 · price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F6 · derivative.exercise_date: The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date. F6 · derivative.expiration_date: The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock automatically converted into shares of Common Stock upon consummation of the Issuer's initial public offering and had no expiration date. F2 · ownership.nature: The reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC ("HVA IV SBIC") is the general partner of HVP IV. The securities directly held by HVP IV are indirectly held by the individual managing members of HVA IV SBIC (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member 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. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:18 UTC | G1 Therapeutics, Inc. GTHX · Entity 87413 | PurchaseCommon Stock | 133,333 | $15.00 | $1,999,995.00 |
DisclosureSEC source: 0001209191-17-035173 · doc4.xml · nonDerivative · entry 4 Thorp Clay · CIK 0001592380 · 10% owner Hatteras Venture Advisors IV SBIC, LLC · CIK 0001675236 · 10% owner Hatteras Venture Partners IV SBIC, LP · CIK 0001675232 · 10% owner Crumpler John · CIK 0001674107 · 10% owner INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner LEE KENNETH B JR · CIK 0001208570 · 10% owner Reed Douglas MD · CIK 0001291262 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Hatteras Venture Partners IV SBIC, LP Disclosed balance after: 3,861,797 F5 · price: Reflects shares Hatteras Venture Partners IV SBIC, LP purchased in the initial public offering at the initial public offering price of $15.00 per share. F2 · ownership.nature: The reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC ("HVA IV SBIC") is the general partner of HVP IV. The securities directly held by HVP IV are indirectly held by the individual managing members of HVA IV SBIC (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member 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. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:18 UTC | G1 Therapeutics, Inc. GTHX · Entity 87413 | ConversionCommon Stock | 99,513 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-035173 · doc4.xml · nonDerivative · entry 3 Thorp Clay · CIK 0001592380 · 10% owner Hatteras Venture Advisors IV SBIC, LLC · CIK 0001675236 · 10% owner Hatteras Venture Partners IV SBIC, LP · CIK 0001675232 · 10% owner Crumpler John · CIK 0001674107 · 10% owner INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner LEE KENNETH B JR · CIK 0001208570 · 10% owner Reed Douglas MD · CIK 0001291262 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By L2 Ventures, LLC Disclosed balance after: 99,513 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F4 · ownership.nature: The reportable securities are owned directly by L2 Ventures, LLC ("L2 Ventures"). Hatteras Venture Advisors V, LLC ("HVA V") is the general partner of L2 Ventures. The securities directly held by L2 Ventures are indirectly held by the individual managing members of HVA V (each, a "L2 Managing Member" and collectively, the "L2 Managing Members"). The L2 Managing Members are John Crumpler, Clay Thorp, Christy Shaffer, Douglas Reed and Robert Ingram. The L2 Managing Members may share voting and dispositive power over the securities directly held by HVA V. Each L2 Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any L2 Managing Member 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. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:18 UTC | G1 Therapeutics, Inc. GTHX · Entity 87413 | ConversionCommon Stock | 212,419 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-035173 · doc4.xml · nonDerivative · entry 2 Thorp Clay · CIK 0001592380 · 10% owner Hatteras Venture Advisors IV SBIC, LLC · CIK 0001675236 · 10% owner Hatteras Venture Partners IV SBIC, LP · CIK 0001675232 · 10% owner Crumpler John · CIK 0001674107 · 10% owner INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner LEE KENNETH B JR · CIK 0001208570 · 10% owner Reed Douglas MD · CIK 0001291262 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Hatteras NC Fund, LP Disclosed balance after: 212,419 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F3 · ownership.nature: The reportable securities are owned directly by Hatteras NC Fund, LP ("Hatteras NC"). Hatteras Venture Advisors IV, LLC ("HVA IV") is the general partner of Hatteras NC Fund, LP. The securities directly held by Hatteras NC are indirectly held by the individual managing members of HVA IV (each, a "HVA IV Managing Member" and collectively, the "HVA IV Managing Members"). The HVA IV Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The HVA IV Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each HVA IV Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any HVA IV Managing Member 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. Read SEC document |
| May 22, 2017 Filed May 24, 2017 20:18 UTC | G1 Therapeutics, Inc. GTHX · Entity 87413 | ConversionCommon Stock | 3,728,464 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-17-035173 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · 10% owner Hatteras Venture Advisors IV SBIC, LLC · CIK 0001675236 · 10% owner Hatteras Venture Partners IV SBIC, LP · CIK 0001675232 · 10% owner Crumpler John · CIK 0001674107 · 10% owner INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner LEE KENNETH B JR · CIK 0001208570 · 10% owner Reed Douglas MD · CIK 0001291262 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Hatteras Venture Partners IV SBIC, LP Disclosed balance after: 3,728,464 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Preferred Stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering pursuant to the Issuer's Fifth Restated Certificate of Incorporation, as amended, based on the conversion rate in effect at the time of conversion. The Series 1 Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted to Common Stock on a 1-for-3 basis. F2 · ownership.nature: The reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC ("HVA IV SBIC") is the general partner of HVP IV. The securities directly held by HVP IV are indirectly held by the individual managing members of HVA IV SBIC (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member 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. Read SEC document |
| May 19, 2017 Filed May 19, 2017 22:11 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 15,000 | $8.31 | $124,650.00 |
DisclosureSEC source: 0001209191-17-034043 · doc4.xml · nonDerivative · entry 2 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,920,394 F1 · kind: 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 September 16, 2016. F6 · shares: Consists of (i) 439 shares sold by Hatteras NC, (ii) 5,753 shares sold by HVP III, (iii) 522 shares sold by HVA III, (iv) 930 shares sold by HVP IV and (v) 7,356 shares sold by HVP IV SBIC. F7 · price: This transaction was executed in multiple trades at prices ranging from $8.03 to $8.56, 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| May 18, 2017 Filed May 19, 2017 22:11 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 9,000 | $8.44 | $75,960.00 |
DisclosureSEC source: 0001209191-17-034043 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,935,394 F1 · kind: 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 September 16, 2016. F2 · shares: Consists of (i) 265 shares sold by Hatteras NC Fund, LP ("Hatteras NC"), (ii) 3,451 shares sold by Hatteras Venture Partners III, LP ("HVP III"), (iii) 313 shares sold by Hatteras Venture Affiliates III, LP ("HVA III"), (iv) 558 shares sold by Hatteras Venture Partners IV, LP ("HVP IV") and (v) 4,413 shares sold by Hatteras Venture Partners IV SBIC, LP ("HVP IV SBIC"). F3 · price: This transaction was executed in multiple trades at prices ranging from $8.05 to $8.53, 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| May 17, 2017 Filed May 17, 2017 23:43 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 19,000 | $8.39 | $159,410.00 |
DisclosureSEC source: 0001209191-17-033438 · doc4.xml · nonDerivative · entry 3 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,944,394 F1 · kind: 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 September 16, 2016. F8 · shares: Consists of (i) 559 shares sold by Hatteras NC, (ii) 7,287 shares sold by HVP III, (iii) 661 shares sold by HVA III, (iv) 1,178 shares sold by HVP IV and (v) 9,315 shares sold by HVP IV SBIC. F9 · price: This transaction was executed in multiple trades at prices ranging from $8.26 to $8.57, 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| May 16, 2017 Filed May 17, 2017 23:43 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 9,544 | $8.61 | $82,173.84 |
DisclosureSEC source: 0001209191-17-033438 · doc4.xml · nonDerivative · entry 2 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,963,394 F1 · kind: 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 September 16, 2016. F6 · shares: Consists of (i) 281 shares sold by Hatteras NC, (ii) 3,660 shares sold by HVP III, (iii) 332 shares sold by HVA III, (iv) 592 shares sold by HVP IV and (v) 4,679 shares sold by HVP IV SBIC. F7 · price: This transaction was executed in multiple trades at prices ranging from $8.41 to $8.76, 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| May 15, 2017 Filed May 17, 2017 23:43 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 15,941 | $8.94 | $142,512.54 |
DisclosureSEC source: 0001209191-17-033438 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,972,938 F1 · kind: 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 September 16, 2016. F2 · shares: Consists of (i) 469 shares sold by Hatteras NC Fund, LP ("Hatteras NC"), (ii) 6,113 shares sold by Hatteras Venture Partners III, LP ("HVP III"), (iii) 555 shares sold by Hatteras Venture Affiliates III, LP ("HVA III"), (iv) 988 shares sold by Hatteras Venture Partners IV, LP ("HVP IV") and (v) 7,816 shares sold by Hatteras Venture Partners IV SBIC, LP ("HVP IV SBIC"). F3 · price: This transaction was executed in multiple trades at prices ranging from $8.72 to $9.09, 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| April 19, 2017 Filed Apr 20, 2017 00:12 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 2,030 | $7.37 | $14,961.10 |
DisclosureSEC source: 0000899243-17-010598 · doc4.xml · nonDerivative · entry 3 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,988,879 F1 · kind: 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 September 16, 2016. F8 · shares: Consists of (i) 59 shares sold by Hatteras NC, (ii) 779 shares sold by HVP III, (iii) 71 shares sold by HVA III, (iv) 126 shares sold by HVP IV and (v) 995 shares sold by HVP IV SBIC. F9 · price: This transaction was executed in multiple trades at prices ranging from $7.34 to $7.45, 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| April 18, 2017 Filed Apr 20, 2017 00:12 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 44,455 | $7.48 | $332,523.40 |
DisclosureSEC source: 0000899243-17-010598 · doc4.xml · nonDerivative · entry 2 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 3,990,909 F1 · kind: 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 September 16, 2016. F6 · shares: Consists of (i) 1,307 shares sold by Hatteras NC, (ii) 17,048 shares sold by HVP III, (iii) 1,547 shares sold by HVA III, (iv) 2,756 shares sold by HVP IV and (v) 21,797 shares sold by HVP IV SBIC. F7 · price: This transaction was executed in multiple trades at prices ranging from $7.35 to $7.60, inclusive. The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide upon F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| April 17, 2017 Filed Apr 20, 2017 00:12 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 22,000 | $7.43 | $163,460.00 |
DisclosureSEC source: 0000899243-17-010598 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,035,364 F1 · kind: 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 September 16, 2016. F2 · shares: Consists of (i) 647 shares sold by Hatteras NC Fund, LP ("Hatteras NC"), (ii) 8,437 shares sold by Hatteras Venture Partners III, LP ("HVP III"), (iii) 765 shares sold by Hatteras Venture Affiliates III, LP ("HVA III"), (iv) 1,364 shares sold by Hatteras Venture Partners IV, LP ("HVP IV") and (v) 10,787 shares sold by Hatteras Venture Partners IV SBIC, LP ("HVP IV SBIC"). F3 · price: This transaction was executed in multiple trades at prices ranging from $7.31 to $7.78, 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| March 16, 2017 Filed Mar 17, 2017 20:19 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 21,485 | $6.77 | $145,453.45 |
DisclosureSEC source: 0001209191-17-021366 · doc4.xml · nonDerivative · entry 2 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,057,364 F1 · kind: 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 September 16, 2016. F6 · shares: Consists of (i) 631 shares sold by Hatteras NC, (ii) 8,239 shares sold by HVP III, (iii) 747 shares sold by HVA III, (iv) 1,332 shares sold by HVP IV and (v) 10,536 shares sold by HVP IV SBIC. F7 · price: This transaction was executed in multiple trades at prices ranging from $6.46 to $6.94, 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| March 15, 2017 Filed Mar 17, 2017 20:19 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 47,000 | $6.47 | $304,090.00 |
DisclosureSEC source: 0001209191-17-021366 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,078,849 F1 · kind: 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 September 16, 2016. F2 · shares: Consists of (i) 1,382 shares sold by Hatteras NC Fund, LP ("Hatteras NC"), (ii) 18,025 shares sold by Hatteras Venture Partners III, LP ("HVP III"), (iii) 1,636 shares sold by Hatteras Venture Affiliates III, LP ("HVA III"), (iv) 2,914 shares sold by Hatteras Venture Partners IV, LP ("HVP IV") and (v) 23,043 shares sold by Hatteras Venture Partners IV SBIC, LP ("HVP IV SBIC"). F3 · price: This transaction was executed in multiple trades at prices ranging from $6.10 to $6.77, 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| February 22, 2017 Filed Feb 22, 2017 21:36 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 2,000 | $7.49 | $14,980.00 |
DisclosureSEC source: 0001209191-17-013292 · doc4.xml · nonDerivative · entry 2 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,125,849 F1 · kind: 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 September 16, 2016. F6 · shares: Consists of (i) 58 shares sold by Hatteras NC, (ii) 767 shares sold by HVP III, (iii) 70 shares sold by HVA III, (iv) 124 shares sold by HVP IV and (v) 981 shares sold by HVP IV SBIC. F7 · price: This transaction was executed in multiple trades at prices ranging from $7.44 to $7.60, 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| February 21, 2017 Filed Feb 22, 2017 21:36 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 25,000 | $7.55 | $188,750.00 |
DisclosureSEC source: 0001209191-17-013292 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,127,849 F1 · kind: 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 September 16, 2016. F2 · shares: Consists of (i) 735 shares sold by Hatteras NC Fund, LP ("Hatteras NC"), (ii) 9,587 shares sold by Hatteras Venture Partners III, LP ("HVP III"), (iii) 870 shares sold by Hatteras Venture Affiliates III, LP ("HVA III"), (iv) 1,550 shares sold by Hatteras Venture Partners IV, LP ("HVP IV") and (v) 12,258 shares sold by Hatteras Venture Partners IV SBIC, LP ("HVP IV SBIC"). F3 · price: This transaction was executed in multiple trades at prices ranging from $7.42 to $7.67, 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| February 17, 2017 Filed Feb 18, 2017 00:32 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 10,000 | $7.54 | $75,400.00 |
DisclosureSEC source: 0001209191-17-012396 · doc4.xml · nonDerivative · entry 3 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,152,849 F1 · kind: 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 September 16, 2016. F8 · shares: 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. F9 · price: This transaction was executed in multiple trades at prices ranging from $7.41 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| February 16, 2017 Filed Feb 18, 2017 00:32 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 14,000 | $7.58 | $106,120.00 |
DisclosureSEC source: 0001209191-17-012396 · doc4.xml · nonDerivative · entry 2 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,162,849 F1 · kind: 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 September 16, 2016. F6 · shares: Consists of (i) 412 shares sold by Hatteras NC, (ii) 5,369 shares sold by HVP III, (iii) 487 shares sold by HVA III, (iv) 868 shares sold by HVP IV and (v) 6,864 shares sold by HVP IV SBIC. F7 · price: This transaction was executed in multiple trades at prices ranging from $7.37 to $7.77, 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:32 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 17,485 | $7.64 | $133,585.40 |
DisclosureSEC source: 0001209191-17-012396 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,176,849 F1 · kind: 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 September 16, 2016. F2 · shares: Consists of (i) 514 shares sold by Hatteras NC Fund, LP ("Hatteras NC"), (ii) 6,706 shares sold by Hatteras Venture Partners III, LP ("HVP III"), (iii) 608 shares sold by Hatteras Venture Affiliates III, LP ("HVA III"), (iv) 1,084 shares sold by Hatteras Venture Partners IV, LP ("HVP IV") and (v) 8,573 shares sold by Hatteras Venture Partners IV SBIC, LP ("HVP IV SBIC"). F3 · price: This transaction was executed in multiple trades at prices ranging from $7.45 to $7.71, 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| January 20, 2017 Filed Jan 21, 2017 01:19 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 8,000 | $7.77 | $62,160.00 |
DisclosureSEC source: 0001209191-17-005001 · doc4.xml · nonDerivative · entry 4 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,194,334 F1 · kind: 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 September 16, 2016. F10 · shares: Consists of (i) 235 shares sold by Hatteras NC, (ii) 3,068 shares sold by HVP III, (iii) 278 shares sold by HVA III, (iv) 496 shares sold by HVP IV and (v) 3,923 shares sold by HVP IV SBIC. F11 · price: This transaction was executed in multiple trades at prices ranging from $7.62 to $8.03, 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| January 19, 2017 Filed Jan 19, 2017 19:31 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 7,592 | $8.22 | $62,406.24 |
DisclosureSEC source: 0001578563-17-000004 · primary_doc.xml · nonDerivative · entry 3 Hatteras Venture Advisors IV SBIC, LLC · CIK 0001675236 · 10% owner · May be part of a 13(d) Group Hatteras Venture Partners IV SBIC, LP · CIK 0001675232 · 10% owner · May be part of a 13(d) Group Crumpler John · CIK 0001674107 · 10% owner · May be part of a 13(d) Group INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner · May be part of a 13(d) Group LEE KENNETH B JR · CIK 0001208570 · 10% owner · May be part of a 13(d) Group Reed Douglas MD · CIK 0001291262 · 10% owner · May be part of a 13(d) Group Thorp Clay · CIK 0001592380 · 10% owner · May be part of a 13(d) Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,060,514 F4 · price: This transaction was executed in multiple trades at prices ranging from $8.01 to $8.65. 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. F2 · ownership.nature: The reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC is the general partner of HVP IV (the "GP"). The securities directly held by HVP IV are indirectly held by the individual managing members of GP (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member 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. Read SEC document |
| January 19, 2017 Filed Jan 19, 2017 17:53 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 6,478 | $8.22 | $53,249.16 |
DisclosureSEC source: 0001578563-17-000002 · primary_doc.xml · nonDerivative · entry 3 Hatteras Venture Advisors III, LLC · CIK 0001674177 · 10% owner · May be part of a 13(d) Group Hatteras Ventures Partners III LP · CIK 0001390733 · 10% owner · May be part of a 13(d) Group Hatteras Venture Affiliates III Lp · CIK 0001390738 · 10% owner · May be part of a 13(d) Group Crumpler John · CIK 0001674107 · 10% owner · May be part of a 13(d) Group INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner · May be part of a 13(d) Group LEE KENNETH B JR · CIK 0001208570 · 10% owner · May be part of a 13(d) Group Reed Douglas MD · CIK 0001291262 · 10% owner · May be part of a 13(d) Group Thorp Clay · CIK 0001592380 · 10% owner · May be part of a 13(d) Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,757,719 F4 · price: This transaction was executed in multiple trades at prices ranging from $8.01 to $8.65. 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. F2 · ownership.nature: The reportable securities are owned directly by Hatteras Venture Partners III, LP ("HVP") and Hatteras Venture Affiliates III, LP ("HVA"). Hatteras Venture Advisors III, LLC is the general partner of HVP and HVA (the "GP"). The shares directly held by HVP and HVA are indirectly held by the individual managing members of GP (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP and HVA. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member 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. F5 · ownership.nature: HVP holds 1,611,407 shares and HVA holds 146,312 shares of the Issuer's common stock directly. Read SEC document |
| January 19, 2017 Filed Jan 21, 2017 01:19 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 15,485 | $8.23 | $127,441.55 |
DisclosureSEC source: 0001209191-17-005001 · doc4.xml · nonDerivative · entry 3 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,202,334 F1 · kind: 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 September 16, 2016. F8 · shares: Consists of (i) 455 shares sold by Hatteras NC, (ii) 5,939 shares sold by HVP III, (iii) 539 shares sold by HVA III, (iv) 960 shares sold by HVP IV and (v) 7,592 shares sold by HVP IV SBIC. F9 · price: This transaction was executed in multiple trades at prices ranging from $8.01 to $8.65, 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| January 18, 2017 Filed Jan 19, 2017 19:31 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 12,258 | $8.64 | $105,909.12 |
DisclosureSEC source: 0001578563-17-000004 · primary_doc.xml · nonDerivative · entry 2 Hatteras Venture Advisors IV SBIC, LLC · CIK 0001675236 · 10% owner · May be part of a 13(d) Group Hatteras Venture Partners IV SBIC, LP · CIK 0001675232 · 10% owner · May be part of a 13(d) Group Crumpler John · CIK 0001674107 · 10% owner · May be part of a 13(d) Group INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner · May be part of a 13(d) Group LEE KENNETH B JR · CIK 0001208570 · 10% owner · May be part of a 13(d) Group Reed Douglas MD · CIK 0001291262 · 10% owner · May be part of a 13(d) Group Thorp Clay · CIK 0001592380 · 10% owner · May be part of a 13(d) Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,068,106 F3 · price: This transaction was executed in multiple trades at prices ranging from $8.42 to $8.79. 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. F2 · ownership.nature: The reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC is the general partner of HVP IV (the "GP"). The securities directly held by HVP IV are indirectly held by the individual managing members of GP (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member 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. Read SEC document |
| January 18, 2017 Filed Jan 19, 2017 17:53 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 10,457 | $8.64 | $90,348.48 |
DisclosureSEC source: 0001578563-17-000002 · primary_doc.xml · nonDerivative · entry 2 Hatteras Venture Advisors III, LLC · CIK 0001674177 · 10% owner · May be part of a 13(d) Group Hatteras Ventures Partners III LP · CIK 0001390733 · 10% owner · May be part of a 13(d) Group Hatteras Venture Affiliates III Lp · CIK 0001390738 · 10% owner · May be part of a 13(d) Group Crumpler John · CIK 0001674107 · 10% owner · May be part of a 13(d) Group INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner · May be part of a 13(d) Group LEE KENNETH B JR · CIK 0001208570 · 10% owner · May be part of a 13(d) Group Reed Douglas MD · CIK 0001291262 · 10% owner · May be part of a 13(d) Group Thorp Clay · CIK 0001592380 · 10% owner · May be part of a 13(d) Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,764,197 F3 · price: This transaction was executed in multiple trades at prices ranging from $8.42 to $8.79. 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. F2 · ownership.nature: The reportable securities are owned directly by Hatteras Venture Partners III, LP ("HVP") and Hatteras Venture Affiliates III, LP ("HVA"). Hatteras Venture Advisors III, LLC is the general partner of HVP and HVA (the "GP"). The shares directly held by HVP and HVA are indirectly held by the individual managing members of GP (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP and HVA. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member 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. Read SEC document |
| January 18, 2017 Filed Jan 21, 2017 01:19 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 25,000 | $8.64 | $216,000.00 |
DisclosureSEC source: 0001209191-17-005001 · doc4.xml · nonDerivative · entry 2 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,217,819 F1 · kind: 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 September 16, 2016. F6 · shares: Consists of (i) 735 shares sold by Hatteras NC, (ii) 9,587 shares sold by HVP III, (iii) 870 shares sold by HVA III, (iv) 1,550 shares sold by HVP IV and (v) 12,258 shares sold by HVP IV SBIC. F7 · price: This transaction was executed in multiple trades at prices ranging from $8.42 to $8.79, 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
| January 17, 2017 Filed Jan 19, 2017 19:31 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 9,806 | $8.92 | $87,469.52 |
DisclosureSEC source: 0001578563-17-000004 · primary_doc.xml · nonDerivative · entry 1 Hatteras Venture Advisors IV SBIC, LLC · CIK 0001675236 · 10% owner · May be part of a 13(d) Group Hatteras Venture Partners IV SBIC, LP · CIK 0001675232 · 10% owner · May be part of a 13(d) Group Crumpler John · CIK 0001674107 · 10% owner · May be part of a 13(d) Group INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner · May be part of a 13(d) Group LEE KENNETH B JR · CIK 0001208570 · 10% owner · May be part of a 13(d) Group Reed Douglas MD · CIK 0001291262 · 10% owner · May be part of a 13(d) Group Thorp Clay · CIK 0001592380 · 10% owner · May be part of a 13(d) Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,080,364 F1 · price: This transaction was executed in multiple trades at prices ranging from $8.68 to $9.22. 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. F2 · ownership.nature: The reportable securities are owned directly by Hatteras Venture Partners IV SBIC, LP ("HVP IV"). Hatteras Venture Advisors IV SBIC, LLC is the general partner of HVP IV (the "GP"). The securities directly held by HVP IV are indirectly held by the individual managing members of GP (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP IV. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member 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. Read SEC document |
| January 17, 2017 Filed Jan 19, 2017 17:53 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 8,366 | $8.92 | $74,624.72 |
DisclosureSEC source: 0001578563-17-000002 · primary_doc.xml · nonDerivative · entry 1 Hatteras Venture Advisors III, LLC · CIK 0001674177 · 10% owner · May be part of a 13(d) Group Hatteras Ventures Partners III LP · CIK 0001390733 · 10% owner · May be part of a 13(d) Group Hatteras Venture Affiliates III Lp · CIK 0001390738 · 10% owner · May be part of a 13(d) Group Crumpler John · CIK 0001674107 · 10% owner · May be part of a 13(d) Group INGRAM ROBERT ALEXANDER · CIK 0001219890 · 10% owner · May be part of a 13(d) Group LEE KENNETH B JR · CIK 0001208570 · 10% owner · May be part of a 13(d) Group Reed Douglas MD · CIK 0001291262 · 10% owner · May be part of a 13(d) Group Thorp Clay · CIK 0001592380 · 10% owner · May be part of a 13(d) Group Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,774,654 F1 · price: This transaction was executed in multiple trades at prices ranging from $8.68 to $9.22. 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. F2 · ownership.nature: The reportable securities are owned directly by Hatteras Venture Partners III, LP ("HVP") and Hatteras Venture Affiliates III, LP ("HVA"). Hatteras Venture Advisors III, LLC is the general partner of HVP and HVA (the "GP"). The shares directly held by HVP and HVA are indirectly held by the individual managing members of GP (each, a "GP Managing Member" and collectively, the "GP Managing Members"). The GP Managing Members are John Crumpler, Clay Thorp, Ken Lee, Douglas Reed and Robert Ingram. The GP Managing Members may share voting and dispositive power over the securities directly held by HVP and HVA. Each GP Managing Member disclaims beneficial ownership of these securities and this report is not an admission that any GP Managing Member 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. Read SEC document |
| January 17, 2017 Filed Jan 21, 2017 01:19 UTC | Clearside Biomedical, Inc. CLSD · Entity 82875 | SaleCommon Stock | 20,000 | $8.92 | $178,400.00 |
DisclosureSEC source: 0001209191-17-005001 · doc4.xml · nonDerivative · entry 1 Thorp Clay · CIK 0001592380 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 4,242,819 F1 · kind: 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 September 16, 2016. F2 · shares: Consists of (i) 588 shares sold by Hatteras NC Fund, LP ("Hatteras NC"), (ii) 7,670 shares sold by Hatteras Venture Partners III, LP ("HVP III"), (iii) 696 shares sold by Hatteras Venture Affiliates III, LP ("HVA III"), (iv) 1,240 shares sold by Hatteras Venture Partners IV, LP ("HVP IV") and (v) 9,806 shares sold by Hatteras Venture Partners IV SBIC, LP ("HVP IV SBIC"). F3 · price: This transaction was executed in multiple trades at prices ranging from $8.68 to $9.22, 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. F4 · ownership.nature: 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. F5 · ownership.nature: 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.