SEC Filing | EyePoint Pharmaceuticals

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SEC FORM 4 SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Lurker Nancy

(Last)

(First)

(Middle)

C/O EYEPOINT PHARMACEUTICALS, INC.

480 PLEASANT STREET

(Street)

WATERTOWN

02472

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
EyePoint Pharmaceuticals, Inc. [ EYPT ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director	10% Owner
X	Officer (give title below)	Other (specify below)
CEO

3. Date of Earliest Transaction (Month/Day/Year)
05/11/2023

4. 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

Rule 10b5-1(c) Transaction Indication

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Stock Option (right to buy)	$36.3	05/11/2023		G⁽¹⁾			21,250	⁽²⁾	09/15/2026	Common Stock	21,250	$0.00	0.00	D
Stock Option (right to buy)	$36.3	05/11/2023		G⁽¹⁾		21,250		⁽²⁾	09/15/2026	Common Stock	21,250	$0.00	85,000	I⁽³⁾	By Family Trust
Stock Option (Right to Buy)	$26.5	05/11/2023		G⁽⁴⁾			65,868	⁽⁵⁾	02/21/2029	Common Stock	65,868	$0.00	0.00	D
Stock Option (Right to Buy)	$26.5	05/11/2023		G⁽⁴⁾		65,868		⁽⁵⁾	02/21/2029	Common Stock	65,868	$0.00	93,000	I⁽³⁾	By Family Trust
Stock Option (right to buy)	$20.4	05/11/2023		G⁽⁶⁾			36,000	⁽⁷⁾	06/14/2028	Common Stock	36,000	$0.00	0.00	D
Stock Option (right to buy)	$20.4	05/11/2023		G⁽⁶⁾		36,000		⁽⁷⁾	06/14/2028	Common Stock	36,000	$0.00	54,000	I⁽³⁾	By Family Trust
Stock Option (right to buy)	$17.7	05/11/2023		G⁽⁸⁾			8,000	⁽⁹⁾	06/27/2027	Common Stock	8,000	$0.00	0.00	D
Stock Option (right to buy)	$17.7	05/11/2023		G⁽⁸⁾		8,000		⁽⁹⁾	06/27/2027	Common Stock	8,000	$0.00	24,000	I⁽³⁾	By Family Trust
Stock Option (Right to Buy)	$13.13	05/11/2023		G⁽¹⁰⁾			120,206	⁽¹¹⁾	02/09/2031	Common Stock	120,206	$0.00	93,494	D
Stock Option (Right to Buy)	$13.13	05/11/2023		G⁽¹⁰⁾		120,206		⁽¹¹⁾	02/09/2031	Common Stock	120,206	$0.00	120,206	I⁽³⁾	By Family Trust
Stock Option (Right to Buy)	$12.9	05/11/2023		G⁽¹²⁾			59,220	⁽¹³⁾	02/28/2030	Common Stock	59,220	$0.00	15,580	D
Stock Option (Right to Buy)	$12.9	05/11/2023		G⁽¹²⁾		59,220		⁽¹³⁾	02/28/2030	Common Stock	59,220	$0.00	59,220	I⁽³⁾	By Family Trust
Stock Option (Right to Buy)	$10.13	05/11/2023		G⁽¹⁴⁾			75,000	⁽¹⁵⁾	02/09/2032	Common Stock	75,000	$0.00	165,000	D
Stock Option (Right to Buy)	$10.13	05/11/2023		G⁽¹⁴⁾		75,000		⁽¹⁵⁾	02/09/2032	Common Stock	75,000	$0.00	75,000	I⁽³⁾	By Family Trust

Explanation of Responses:

1. On May 11, 2023, the reporting person transferred the vested portion of an option to purchase common stock, par value $0.001 per share ("Common Stock"), of EyePoint Pharmaceuticals, Inc. (the "Company"), to an irrevocable family trust of which the reporting person's spouse is trustee and of which the reporting person's immediately family members are the sole beneficiaries (the "Family Trust"). The option was originally granted to the reporting person on December 12, 2016 and was exercisable for 85,000 shares of Common Stock of the Company. At the time of the transfer the option was fully vested.

2. The option vested and became exercisable in four equal annual installments beginning on September 15, 2017. At the time of the transfer, the portion of the option that was transferred to the Family Trust had vested in full as of September 15, 2020.

3. These securities are held in a trust for the benefit of the reporting person's children. The reporting person's spouse is trustee of the Family Trust. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

4. On May 11, 2023, the reporting person transferred the vested portion of an option to purchase Common Stock of the Company to the Family Trust. The option was originally granted to the reporting person on February 21, 2019 and was fully vested at the time of the transfer

5. The option vests and becomes exercisable ratably in 48 monthly installments beginning on March 21, 2019. At the time of the transfer, the portion of the option that was transferred to the Family Trust had vested in full as of March 21,2023.

6. On May 11, 2023, the reporting person transferred the vested portion of an option to purchase Common Stock of the Company to the Family Trust. The option was originally granted to the reporting person on June 14, 2018 and was fully vested at the time of the transfer.

7. The option vests and becomes exercisable in three equal annual installments beginning on June 14, 2019. At the time of the transfer, the portion of the option that was transferred to the Family Trust vested in full as of June 14, 2021.

8. On May 11, 2023, the reporting person transferred the vested portion of an option to purchase Common Stock of the Company to the Family Trust. The option was originally granted to the reporting person on December 15, 2017 and was fully vested at the time of the transfer,

9. The option vested and became exercisable in three equal annual installments beginning on June 27, 2018. At the time of the transfer, the portion of the option that was transferred to the Family Trust had vested in full as of June 27, 2020.

10. On May 11, 2023, the reporting person transferred the vested portion of an option to purchase Common Stock of the Company to the Family Trust. The option was originally granted to the reporting person on February 9, 2021 and was exercisable for 213,700 shares of Common Stock of the Company. At the time of the transfer, the vested portion of the option consisted of 120,206 shares of Common Stock of the Company.

11. The option to purchase will vest and become exercisable over a four year period as follows: 25% at the one year anniversary of grant and then ratably over the remaining thirty-six months At the time of the transfer, the portion of the option that was transferred to the Family Trust vested in full as of May 9, 2023. The remaining portion of the option retained by the reporting person continues to vest on a monthly basis until February 9, 2025.

12. On May 11, 2023, the reporting person transferred the vested portion of an option to purchase Common Stock of the Company to the Family Trust. The option was originally granted to the reporting person on February 28, 2020 and was exercisable for 74,800 shares of Common Stock of the Company. At the time of the transfer, the vested portion of the option consisted of 59,220 shares of Common Stock of the Company.

13. The option to purchase will vest and become exercisable over a four year period as follows: 25% at the one year anniversary of grant and then ratably over the remaining thirty-six months At the time of the transfer, the portion of the option that was transferred to the Family Trust vested in full as of April 28, 2023. The remaining portion of the option retained by the reporting person continues to vest on a monthly basis until February 28, 2024.

14. On May 11, 2023, the reporting person transferred the vested portion of an option to purchase Common Stock of the Company to the Family Trust. The option was originally granted to the reporting person on February 9, 2022 and was exercisable for 240,000 shares of Common Stock of the Company. At the time of the transfer, the vested portion of the option consisted of 75,000 shares of Common Stock of the Company.

15. The option to purchase will vest and become exercisable over a four year period as follows: 25% at the one year anniversary of grant and then ratably over the remaining thirty-six months At the time of the transfer, the portion of the option that was transferred to the Family Trust vested in full as of May 9, 2023. The remaining portion of the option retained by the reporting person continues to vest on a monthly basis until February 9, 2026.

Remarks:

	/s/ Ron Honig, Attorney-in-Fact	05/15/2023
	** 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).
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