0001578563-17-000002.txt : 20170119 0001578563-17-000002.hdr.sgml : 20170119 20170119175347 ACCESSION NUMBER: 0001578563-17-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170117 FILED AS OF DATE: 20170119 DATE AS OF CHANGE: 20170119 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Clearside Biomedical, Inc. CENTRAL INDEX KEY: 0001539029 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 452437375 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1220 OLD ALPHARETTA RD STREET 2: SUITE 300 CITY: ALPHARETTA STATE: GA ZIP: 30005 BUSINESS PHONE: 678-270-4005 MAIL ADDRESS: STREET 1: 1220 OLD ALPHARETTA RD STREET 2: SUITE 300 CITY: ALPHARETTA STATE: GA ZIP: 30005 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Thorp Clay CENTRAL INDEX KEY: 0001592380 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37783 FILM NUMBER: 17537028 MAIL ADDRESS: STREET 1: C/O HATTERAS VENTURE PARTNERS III, LP STREET 2: 280 S. MANGUM ST., SUITE 350 CITY: DURHAM STATE: NC ZIP: 27701 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: INGRAM ROBERT ALEXANDER CENTRAL INDEX KEY: 0001219890 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37783 FILM NUMBER: 17537031 MAIL ADDRESS: STREET 1: 280 S. MANGUM STREET STREET 2: SUITE 350 CITY: DURHAM STATE: NC ZIP: 27701 FORMER NAME: FORMER CONFORMED NAME: INGRAM ROBERT A DATE OF NAME CHANGE: 20030222 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Crumpler John CENTRAL INDEX KEY: 0001674107 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37783 FILM NUMBER: 17537032 MAIL ADDRESS: STREET 1: 280 S. MANGUM STREET STREET 2: SUITE 350 CITY: DURHAM STATE: NC ZIP: 27701 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hatteras Venture Affiliates III Lp CENTRAL INDEX KEY: 0001390738 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37783 FILM NUMBER: 17537033 BUSINESS ADDRESS: STREET 1: 1822 E NC 54 STREET 2: Ste 250 CITY: Durham STATE: NC ZIP: 27713 BUSINESS PHONE: 9194840730 MAIL ADDRESS: STREET 1: 1822 E NC 54 STREET 2: Ste 250 CITY: Durham STATE: NC ZIP: 27713 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hatteras Ventures Partners III LP CENTRAL INDEX KEY: 0001390733 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37783 FILM NUMBER: 17537034 BUSINESS ADDRESS: STREET 1: 1822 E NC 54 Ste 250 CITY: Durham STATE: NC ZIP: 27713 BUSINESS PHONE: 9194840730 MAIL ADDRESS: STREET 1: 1822 E NC 54 Ste 250 CITY: Durham STATE: NC ZIP: 27713 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Hatteras Venture Advisors III, LLC CENTRAL INDEX KEY: 0001674177 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37783 FILM NUMBER: 17537035 BUSINESS ADDRESS: STREET 1: 280 S. MANGUM STREET, SUITE 350 CITY: DURHAM STATE: NC ZIP: 27701 BUSINESS PHONE: 919-484-0730 MAIL ADDRESS: STREET 1: 280 S. MANGUM STREET, SUITE 350 CITY: DURHAM STATE: NC ZIP: 27701 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LEE KENNETH B JR CENTRAL INDEX KEY: 0001208570 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37783 FILM NUMBER: 17537030 MAIL ADDRESS: STREET 1: 7100 WEST CREDIT AVENUE, SUITE 101 STREET 2: C/O ARALEZ PHARMACEUTICALS INC. CITY: MISSISSAUGA STATE: A6 ZIP: L5N 0E4 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Reed Douglas MD CENTRAL INDEX KEY: 0001291262 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37783 FILM NUMBER: 17537029 MAIL ADDRESS: STREET 1: C/O VECTOR FUND MANAGEMENT STREET 2: 1751 LAKE COOK ROAD, SUITE 350 CITY: DEERFIELD STATE: IL ZIP: 60015 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2017-01-17 1 0001539029 Clearside Biomedical, Inc. CLSD 0001674177 Hatteras Venture Advisors III, LLC 280 S. MANGUM STREET, SUITE 350 DURHAM NC 27701 0 0 1 1 May be part of a 13(d) Group 0001390733 Hatteras Ventures Partners III LP 280 S. MANGUM STREET, SUITE 350 DURHAM NC 27701 0 0 1 1 May be part of a 13(d) Group 0001390738 Hatteras Venture Affiliates III Lp 280 S. MANGUM STREET, SUITE 350 DURHAM NC 27701 0 0 1 1 May be part of a 13(d) Group 0001674107 Crumpler John C/O HATTERAS VENTURES 280 S. MANGUM STREET, SUITE 350 DURHAM NC 27701 0 0 1 1 May be part of a 13(d) Group 0001219890 INGRAM ROBERT ALEXANDER C/O HATTERAS VENTURES 280 S. MANGUM STREET, SUITE 350 DURHAM NC 27701 0 0 1 1 May be part of a 13(d) Group 0001208570 LEE KENNETH B JR C/O HATTERAS VENTURES 280 S. MANGUM STREET, SUITE 350 DURHAM NC 27701 0 0 1 1 May be part of a 13(d) Group 0001291262 Reed Douglas MD C/O HATTERAS VENTURES 280 S. MANGUM STREET, SUITE 350 DURHAM NC 27701 0 0 1 1 May be part of a 13(d) Group 0001592380 Thorp Clay C/O HATTERAS VENTURES 280 S. MANGUM STREET, SUITE 350 DURHAM NC 27701 0 0 1 1 May be part of a 13(d) Group Common Stock 2017-01-17 4 S 0 8366 8.92 D 1774654 I See Footnote Common Stock 2017-01-18 4 S 0 10457 8.64 D 1764197 I See Footnote Common Stock 2017-01-19 4 S 0 6478 8.22 D 1757719 I See Footnote 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. 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. 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. 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. HVP holds 1,611,407 shares and HVA holds 146,312 shares of the Issuer's common stock directly. /s/ Thomas A. Allen, attorney-in-fact for Hatteras Venture Advisors III, LLC 2017-01-19 /s/ Thomas A. Allen, attorney-in-fact for Hatteras Venture Advisors III, LLC, the general partner of Hatteras Venture Partners III, LP 2017-01-19 /s/ Thomas A. Allen, attorney-in-fact for Hatteras Venture Advisors III, LLC, the general partner of Hatteras Venture Affiliates III, LP 2017-01-19 /s/ Thomas A. Allen, attorney-in-fact for John C. Crumpler 2017-01-19 /s/ Thomas A. Allen, attorney-in-fact for Robert A. Ingram 2017-01-19 /s/ Thomas A. Allen, attorney-in-fact for Kenneth B. Lee 2017-01-19 /s/ Thomas A. Allen, attorney-in-fact for Douglas Reed 2017-01-19 /s/ Thomas A. Allen, attorney-in-fact for Clay B. Thorp 2017-01-19 EX-24 2 poahatteras.txt POA POWER OF ATTORNEY Know all by these presents that the undersigned hereby constitutes and appoints each of Thomas A. Allen and Andrew J. Gibbons, and each of them acting alone, signing singly, the undersigned's true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned's capacity as an officer, director, and/or 10% or more stockholder of Clearside Biomedical , Inc. (the "Company"), Forms ID, 3, 4 and 5 and Schedules 13D or 13G (and any amendments thereto) under Section 13(d) and 16(a) of the Securities Exchange Act of 1934, as amended (the "1934 Act") in accordance with the 1934 Act, and the rules promulgated thereunder; (2) do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Form or Schedule (and any amendments thereto) and to file timely such Form or Schedule with the United States Securities and Exchange Commission and any stock exchange or similar authority; and (3) take any other action of any type whatsoever in connection with the foregoing which in the opinion of such attorney-in- fact may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact's discretion. The undersigned hereby grants to each such attorney-in- fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney- in-fact's substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company assuming, any of the undersigned's responsibilities to comply with Section 13(d) or 16(a) of the 1934 Act. This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file such Forms or Schedules with respect to the undersigned's holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to each of the foregoing attorneys-in-fact. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 18th day of January 2017. HATTERAS VENTURE ADVISORS III, LLC By: /s/ Clay B. Thorp Name: Clay B. Thorp Title: Manager HATTERAS VENTURE PARTNERS III, LP By: Hatteras Venture Advisors III, LLC, its general partner By: /s/ Clay B. Thorp Name: Clay B. Thorp Title: Manager HATTERAS VENTURE AFFILIATES III, LP By: Hatteras Venture Advisors III, LLC, its general partner By: /s/ Clay B. Thorp Name: Clay B. Thorp Title: Manager /s/ John C. Crumpler John C. Crumpler /s/ Robert A. Ingram Robert A. Ingram /s/ Kenneth B. Lee Kenneth B. Lee /s/ Douglas Reed Douglas Reed /s/ Clay B. Thorp Clay B. Thorp