| FORM
3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF
SECURITIES
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act
of 1940
|
| OMB APPROVAL |
| OMB Number: |
3235-0104 |
| Expires: |
December 31, 2014 |
| Estimated average burden |
| hours per response: |
0.5 |
|
|
1. Name and Address of Reporting Person
*
| C/O AERIE PHARMACEUTICALS, INC. |
| 4301 EMPEROR BLVD., SUITE 400 |
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year)
10/06/2021
|
3. Issuer Name
and
Ticker or Trading Symbol
AERIE PHARMACEUTICALS INC
[
AERI
]
|
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
Director |
|
10% Owner |
| X |
Officer (give title below) |
|
Other (specify below) |
| CHRO & VP, Corp Services |
|
5. If Amendment, Date of Original Filed
(Month/Day/Year)
|
6. Individual or Joint/Group Filing (Check
Applicable Line)
| X |
Form filed by One Reporting Person |
|
Form filed by More than One Reporting
Person |
|
| Table I - Non-Derivative Securities Beneficially Owned |
|---|
| 1. Title of Security (Instr.
4)
|
2.
Amount of Securities Beneficially Owned (Instr.
4)
|
3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
4. Nature of Indirect Beneficial Ownership (Instr.
5)
|
|
Common Stock
|
24,871
|
D
|
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 1. Title of Derivative Security (Instr.
4)
|
2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
6. Nature of Indirect Beneficial Ownership (Instr.
5)
|
| Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
|
Stock Option (right to buy)
|
|
01/02/2025 |
Common Stock
|
75,000
|
31.25
|
D
|
|
|
Stock Option (right to buy)
|
|
02/10/2026 |
Common Stock
|
21,950
|
14.16
|
D
|
|
|
Stock Option (right to buy)
|
|
02/01/2027 |
Common Stock
|
14,650
|
43.9
|
D
|
|
|
Stock Option (right to buy)
|
|
01/30/2028 |
Common Stock
|
13,176
|
56.25
|
D
|
|
|
Stock Option (right to buy)
|
|
01/30/2029 |
Common Stock
|
12,516
|
46.86
|
D
|
|
|
Stock Option (right to buy)
|
|
08/14/2029 |
Common Stock
|
12,516
|
23.97
|
D
|
|
|
Stock Option (right to buy)
|
|
08/14/2030 |
Common Stock
|
12,516
|
12.71
|
D
|
|
|
Stock Option (right to buy)
|
|
07/01/2031 |
Common Stock
|
12,516
|
16.22
|
D
|
|
| Explanation of Responses: |
|
|
|
|
|
|
|
/s/ John LaRocca, Attorney-in-Fact for Kathleen McGinley |
10/18/2021 |
|
** Signature of Reporting Person |
Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person,
see
Instruction
4
(b)(v). |
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
POWER OF ATTORNEY
Know all by these presents, that the undersigned hereby constitutes and appoints
Christopher Staten, John LaRocca and Jeffrey Calabrese, and each of them, with
full power of substitution, the undersigned's true and lawful attorneys-in-fact
to:
(1) execute for and on behalf of the undersigned, in the undersigned's capacity
as executive officer and/or director of Aerie Pharmaceuticals, Inc. (the
"Company"), any forms required to be filed by the undersigned pursuant to Rule
144 under the Securities Act of 1933, as amended (the "Securities Act"), or
Forms 3, 4, and 5 in accordance with Section 16(a) of the Securities Exchange
Act of 1934, as amended (the "Exchange Act"), and the rules thereunder, and any
other forms or reports the undersigned may be required to file in connection
with the undersigned's ownership, acquisition, or disposition of securities of
the Company;
(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 forms required to
be filed by the undersigned pursuant to Rule 144 under the Securities Act or any
such Form 3, 4, or 5, or other form or report, including, without limitation,
all forms or reports necessary to obtain EDGAR Identification Numbers, and
timely file such form or report 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 any such attorney-in-fact, may be of benefit
to, in the best interests 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 any
of the undersigned's responsibilities to comply with either Rule 144 under the
Securities Act or Section 16 of the Exchange Act.
This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file any forms required to be filed by the
undersigned pursuant to Rule 144 under the Securities Act or Forms 3, 4, and 5
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 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 October, 2021.
/s/ Kathleen McGinley
Kathleen McGinley
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