0000904454-14-000406.txt : 20140505
0000904454-14-000406.hdr.sgml : 20140505
20140505114108
ACCESSION NUMBER: 0000904454-14-000406
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140501
FILED AS OF DATE: 20140505
DATE AS OF CHANGE: 20140505
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: Aldeyra Therapeutics, Inc.
CENTRAL INDEX KEY: 0001341235
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 15 NEW ENGLAND EXECUTIVE PARK
CITY: BURLINGTON
STATE: MA
ZIP: 01803
BUSINESS PHONE: 617-513-9882
MAIL ADDRESS:
STREET 1: 15 NEW ENGLAND EXECUTIVE PARK
CITY: BURLINGTON
STATE: MA
ZIP: 01803
FORMER COMPANY:
FORMER CONFORMED NAME: Aldexa Therapeutics, Inc.
DATE OF NAME CHANGE: 20130102
FORMER COMPANY:
FORMER CONFORMED NAME: Neuron Systems Inc
DATE OF NAME CHANGE: 20051012
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: VITULLO NICOLE
CENTRAL INDEX KEY: 0001196863
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36332
FILM NUMBER: 14812106
MAIL ADDRESS:
STREET 1: 3030 SCIENCE PARK ROAD
CITY: SAN DIEGO
STATE: CA
ZIP: 92121
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SCHOEMAKER KATHLEEN K
CENTRAL INDEX KEY: 0001207789
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36332
FILM NUMBER: 14812107
MAIL ADDRESS:
STREET 1: ONE PALMER SQUARE
CITY: PRINCETON
STATE: NJ
ZIP: 08542
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TREU JESSE I
CENTRAL INDEX KEY: 0001013425
STATE OF INCORPORATION: DE
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36332
FILM NUMBER: 14812108
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: DOVEY BRIAN H
CENTRAL INDEX KEY: 0001207786
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36332
FILM NUMBER: 14812109
MAIL ADDRESS:
STREET 1: ONE PALMER SQUARE
CITY: PRINCETON
STATE: NJ
ZIP: 08542
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: BLAIR JAMES C
CENTRAL INDEX KEY: 0001024000
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36332
FILM NUMBER: 14812110
MAIL ADDRESS:
STREET 1: 5880 PACIFIC CENTER BLVD
CITY: SAN DIEGO
STATE: CA
ZIP: 92121-4204
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Domain Partners VI, L.P.
CENTRAL INDEX KEY: 0001298033
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36332
FILM NUMBER: 14812111
BUSINESS ADDRESS:
STREET 1: ONE PALMER SQUARE
CITY: PRINCETON
STATE: NJ
ZIP: 08542
BUSINESS PHONE: (609) 683-5656
MAIL ADDRESS:
STREET 1: ONE PALMER SQUARE
CITY: PRINCETON
STATE: NJ
ZIP: 08542
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2014-05-01
0001341235
Aldeyra Therapeutics, Inc.
ALDX
0001298033
Domain Partners VI, L.P.
C/O DOMAIN ASSOCIATES, LLC
ONE PALMER SQUARE
PRINCETON
NJ
08542
0
0
1
0
0001024000
BLAIR JAMES C
C/O DOMAIN ASSOCIATES, LLC
ONE PALMER SQUARE
PRINCETON
NJ
08542
0
0
1
0
0001207786
DOVEY BRIAN H
C/O DOMAIN ASSOCIATES, LLC
ONE PALMER SQUARE
PRINCETON
NJ
08542
0
0
1
0
0001013425
TREU JESSE I
C/O DOMAIN ASSOCIATES, LLC
ONE PALMER SQUARE
PRINCETON
NJ
08542
1
0
1
0
0001207789
SCHOEMAKER KATHLEEN K
C/O DOMAIN ASSOCIATES, LLC
ONE PALMER SQUARE
PRINCETON
NJ
08542
0
0
1
0
0001196863
VITULLO NICOLE
C/O DOMAIN ASSOCIATES, LLC
ONE PALMER SQUARE
PRINCETON
NJ
08542
0
0
1
0
Common Stock
2014-05-01
4
C
0
1909113
0
A
1909113
D
Common Stock
2014-05-01
4
M
0
60576
5.16
A
1969689
D
Common Stock
2014-05-01
4
F
0
39063
8.00
D
1930626
D
Common Stock
2014-05-01
4
M
0
60576
5.16
A
1991202
D
Common Stock
2014-05-01
4
F
0
39063
8.00
D
1952139
D
Series A Preferred Stock
2014-05-01
4
C
0
486316
0
D
Common Stock
1153850
0
D
Series B Preferred Stock
2014-05-01
4
C
0
755263
0
D
Common Stock
755263
0
D
Series B Preferred Stock Warrant (Right to Buy)
5.16
2014-05-01
4
M
0
60576
0
D
2017-12-20
Common Stock
60576
0
D
Series B Preferred Stock Warrant (Right to Buy)
5.16
2014-05-01
4
M
0
60576
0
D
2018-08-14
Common Stock
60576
0
D
The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of One Palmer Square Associates VI, LLC, the sole general partner of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.
As managing members of Domain Associates, LLC, each Reporting Owner listed below may also be deemed to indirectly beneficially own 10,358 shares of Common Stock held by Domain Associates, LLC.
As managing members of the sole general partner of DP VI Associates, L.P., each Reporting Owner listed below may also be deemed to indirectly beneficially own the securities of the Issuer held by DP VI Associates, L.P., as reported on a Form 4 for DP VI Associates, L.P. filed on the same date as this Form 4.
All outstanding shares of the Issuer's preferred stock automatically converted into Common Stock immediately following declaration of effectiveness of the Issuer's Registration Statement for no additional consideration. Each share of Series A Preferred Stock converted into shares of Common Stock on a 2.3726-for-1 basis and each share of Series B Preferred Stock automatically converted into shares of Common Stock on a 1-for-1 basis.
All outstanding warrants were net exercised for shares of the Issuer's Series B Preferred Stock and subsequently automatically converted into Common Stock following declaration of effectiveness of the Issuer's Registration Statement for no additional consideration. Each share of Series B Preferred Stock automatically converted into shares of Common Stock on a 1-for-1 basis.
/s/ Kathleen K. Schoemaker, as Managing Member of One Palmer Square Associates VI, LLC, the general partner of Domain Partners VI, L.P., individually and as Attorney-in-Fact for J. Blair, B. Dovey, J. Treu and N. Vitullo
2014-05-02