0001209191-17-005001.txt : 20170120 0001209191-17-005001.hdr.sgml : 20170120 20170120201939 ACCESSION NUMBER: 0001209191-17-005001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170117 FILED AS OF DATE: 20170120 DATE AS OF CHANGE: 20170120 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: 17539700 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 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-01-17 0 0001539029 Clearside Biomedical, Inc. CLSD 0001592380 Thorp Clay C/O CLEARSIDE BIOMEDICAL, INC. 1220 OLD ALPHARETTA ROAD, SUITE 300 ALPHARETTA GA 30005 1 0 1 0 Common Stock 2017-01-17 4 S 0 20000 8.92 D 4242819 I See Footnotes Common Stock 2017-01-18 4 S 0 25000 8.64 D 4217819 I See Footnotes Common Stock 2017-01-19 4 S 0 15485 8.23 D 4202334 I See Footnotes Common Stock 2017-01-20 4 S 0 8000 7.77 D 4194334 I See Footnotes The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the record holders of the securities on September 16, 2016. 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"). 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. The reporting person is one of the general partners of: (i) Hatteras Venture Advisors III, LLC, the general partner of HVP III and HVA III; (ii) Hatteras Venture Advisors IV SBIC, LLC, the general partner of HVP IV SBIC; and (iii) Hatteras Venture Advisors IV, LLC, the general partner of HVP IV and Hatteras NC. HVP III, HVA III, HVP IV SBIC, HVP IV and Hatteras NC are the record holders of the securities, and the reporting person may be deemed to share voting and dispositive power over the securities held by HVP III, HVA III, HVP IV SBIC, HVP IV and Hatteras NC. The reporting person disclaims beneficial ownership of these securities and this report is not an admission that the reporting person is a beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of his pecuniary interest therein. Consists of (i) 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. 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. 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. 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. 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. 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. /s/ Brian F. Leaf, Attorney-in-Fact for Clay Thorp 2017-01-20