UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) | Â (1) | 09/07/2023 | Common Stock | 192,084 | $ 0.552 | D | Â |
Employee Stock Option (Right to Buy) | Â (2) | 09/07/2023 | Common Stock | 32,953 | $ 0.552 | D | Â |
Employee Stock Option (Right to Buy) | Â (3) | 09/07/2023 | Common Stock | 48,021 | $ 0.552 | D | Â |
Employee Stock Option (Right to Buy) | Â (4) | 10/29/2023 | Common Stock | 96,042 | $ 4.56 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Brady Todd C C/O ALDEYRA THERAPEUTICS, INC. 15 NEW ENGLAND EXECUTIVE PARK BURLINGTON, MA 01803 |
 X |  |  President and CEO |  |
/s/ Todd C. Brady | 05/01/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | Exercisable over four years of service from April 15, 2013, with 25% vesting upon completion of 12 months of service and in 36 equal monthly installments thereafter. |
(2) | This option became exercisable with respect to 1/6th of the shares each month over six months of continuous service following April 1, 2013. |
(3) | Exercisable with respect to 16,007 shares upon each of the effective date of the initial public offering, the date on which the Issuer's closing market capitalization equals at least $55.0 million for 10 consecutive trading days and the date on which the Issuer's closing market capitalization equals at least $70.0 million for 10 consecutive trading days, provided that Dr. Brady remains in continuous service with the Issuer through each such date. |
(4) | Exercisable with respect to 1/16th of the shares in quarterly installments over four years of continuous service following October 30, 2013. |