Initial Statement of Beneficial Ownership (3)
27 June 2020 - 7:11AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Ciulla Thomas |
2. Date of Event Requiring Statement (MM/DD/YYYY)
6/18/2020
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3. Issuer Name and Ticker or Trading Symbol
Clearside Biomedical, Inc. [CLSD]
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(Last)
(First)
(Middle)
C/O CLEARSIDE BIOMEDICAL, INC., 900 NORTH POINT PARKWAY, SUITE 200 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Medical Officer / |
(Street)
ALPHARETTA, GA 30005
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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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 | 145000 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: 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 |
Employee Stock Option (right to buy) | (2) | 10/24/2028 | Common Stock | 80000 | $5.04 | D | |
Employee Stock Option (right to buy) | (3) | 2/5/2029 | Common Stock | 100000 | $1.24 | D | |
Employee Stock Option (right to buy) | (4) | 1/8/2030 | Common Stock | 75000 | $2.37 | D | |
Explanation of Responses: |
(1) | Includes 70,000 restricted stock units ("RSUs"). Fifty percent (50%) of the shares underlying these RSUs vest on September 18, 2020 and twenty-five percent (25%) of the remaining RSUs vest in four equal quarterly installments thereafter. Also includes an additional 50,000 RSUs. Twenty-five percent (25%) of the shares underlying these RSUs vest in four equal annual installments on January 8, 2021, January 8, 2022, January 8, 2023 and January 8, 2024. Each RSU represents a contingent right to receive one share of common stock of the Issuer. Vesting is subject to the Reporting Person's continuous service as of each such vesting date, and subject to accelerated vesting in specified circumstances. |
(2) | One-fourth of the shares underlying this option vested on October 24, 2019 and the balance of the shares vested or vest in a series of 36 successive equal monthly installments thereafter, subject to the reporting person's continuous service as of each such vesting date. |
(3) | One-fourth of the shares underlying this option vested on February 5, 2020 and the balance of the shares vested or vest in a series of 36 successive equal monthly installments thereafter, subject to the reporting person's continuous service as of each such vesting date. |
(4) | One-fourth of the shares underlying this option vest on January 8, 2021 and the balance of the shares vest in a series of 36 successive equal monthly installments thereafter, subject to the reporting person's continuous service as of each such vesting date. |
Remarks: Exhibit List - Exhibit 24 - Power of Attorney |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Ciulla Thomas C/O CLEARSIDE BIOMEDICAL, INC. 900 NORTH POINT PARKWAY, SUITE 200 ALPHARETTA, GA 30005 |
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| Chief Medical Officer |
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Signatures
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/s/ Mark Ballantyne, Attorney-in-Fact | | 6/26/2020 |
**Signature of Reporting Person | Date |
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