0001209191-22-058165.txt : 20221121 0001209191-22-058165.hdr.sgml : 20221121 20221121163741 ACCESSION NUMBER: 0001209191-22-058165 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221121 FILED AS OF DATE: 20221121 DATE AS OF CHANGE: 20221121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Croarkin Richard CENTRAL INDEX KEY: 0001641815 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36152 FILM NUMBER: 221406223 MAIL ADDRESS: STREET 1: C/O AERIE PHARMACEUTICALS, INC. STREET 2: 2030 MAIN STREET, SUITE 1500 CITY: IRVINE STATE: CA ZIP: 92614 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AERIE PHARMACEUTICALS INC CENTRAL INDEX KEY: 0001337553 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 203109565 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4301 EMPEROR BOULEVARD STREET 2: SUITE 400 CITY: DURHAM STATE: NC ZIP: 27703 BUSINESS PHONE: (919) 237-5300 MAIL ADDRESS: STREET 1: 4301 EMPEROR BOULEVARD STREET 2: SUITE 400 CITY: DURHAM STATE: NC ZIP: 27703 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2022-11-21 1 0001337553 AERIE PHARMACEUTICALS INC AERI 0001641815 Croarkin Richard C/O AERIE PHARMACEUTICALS, INC. 4301 EMPEROR BLVD., SUITE 400 DURHAM NC 27703 1 0 0 0 Common Stock 2022-11-21 4 D 0 16095 15.25 D 0 D Stock Option (right to buy) 10.44 2022-11-21 4 D 0 25000 4.81 D 2025-05-07 Common Stock 25000 0 D Stock Option (right to buy) 13.27 2022-11-21 4 D 0 7800 1.98 D 2030-06-11 Common Stock 7800 0 D Stock Option (right to buy) 6.11 2022-11-21 4 D 0 16854 9.14 D 2032-06-09 Common Stock 16854 0 D Each of the reported shares of common stock of the Company (each a "Share or, collectively, the "Shares"), including any Shares of restricted stock was, at the Effective Time (defined below), cancelled and converted into the right to receive $15.25 in cash (the "Merger Consideration") without interest and subject to any applicable withholding taxes. Each stock option with a per Share exercise price that is less than the Merger Consideration was, at the Effective Time, cancelled in exchange for a cash payment equal to, for each Share underlying the stock option (without regard to vesting), the excess of the Merger Consideration over the exercise price payable per Share underlying such stock option. Any stock options with a per Share exercise price that was more than the Merger Consideration were cancelled for no consideration. This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated as of August 22, 2022, by and among Aerie Pharmaceuticals, Inc. (the "Company"), Alcon Research, LLC (the "Parent"), and Lyon Merger Sub, Inc., a copy of which is filed as Exhibit 2.1 to the Company's Form 8-K filed with the SEC on August 23, 2022, pursuant to which the Company became a wholly owned subsidiary of Parent on November 21, 2022 (the "Effective Time"). /s/ John W. LaRocca, Attorney-in-Fact for Richard Croarkin 2022-11-21