Sec Form 3 Filing - Nau Jeffrey @ Oyster Point Pharma, Inc. - 2019-10-30

Insider filing report for Changes in Beneficial Ownership
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FORM 3
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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, 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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1. Name and Address of Reporting Person
Nau Jeffrey
2. Issuer Name and Ticker or Trading Symbol
Oyster Point Pharma, Inc. [ OYST]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X __ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
President and CEO
(Last) (First) (Middle)
C/O OYSTER POINT PHARMA, INC., 202 CARNEGIE CENTER, SUITE 109
3. Date of Earliest Transaction (MM/DD/YY)
10/30/2019
(Street)
PRINCETON, NJ08540
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 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)
Code V Amount (A) or (D) Price
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 (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(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 of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Option (Right to Buy) $ 0.2 ( 1 ) 05/24/2027 Common Stock, par value $0.001 per share 11,031 D
Employee Stock Option (Right to Buy) $ 1.02 ( 2 ) 11/10/2027 Common Stock, par value $0.001 per share 519,774 D
Employee Stock Option (Right to Buy) $ 5.33 ( 3 ) 06/06/2029 Common Stock, par value $0.001 per share 309,721 D
Employee Stock Option (Right to Buy) $ 5.33 ( 4 ) 06/06/2029 Common Stock, par value $0.001 per share 77,430 D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Nau Jeffrey
C/O OYSTER POINT PHARMA, INC.
202 CARNEGIE CENTER, SUITE 109
PRINCETON, NJ08540
X President and CEO
Signatures
/s/Jeffrey Nau 10/30/2019
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Option granted on May 24, 2017 under the Oyster Point Pharma, Inc. 2016 Equity Incentive Plan (the "Plan"). All of the common stock, $0.001 par value per share (the "Common Stock"), of the Issuer subject to the option vested on September 25, 2017.
( 2 )Option granted on November 10, 2017 under the Plan. One forty-eighth of the total number of shares subject to the option vested on December 1, 2017, and one forty-eighth of the remaining shares vested, and continue to vest, monthly thereafter, subject to continued service to the Issuer through each such vesting date. The award is subject to vesting acceleration under certain circumstances.
( 3 )Option granted on June 6, 2019 under the Plan. One forty-eighth of the total number of shares subject to the option vested on June 3, 2019, and one forty-eighth of the remaining shares vested, and continue to vest, monthly thereafter, subject to continued service to the Issuer through each such vesting date. The award is subject to vesting acceleration under certain circumstances.
( 4 )Option granted on June 6, 2019 under the Plan. All of the Common Stock of the Issuer subject to the option vested on July 24, 2019.

Remarks:
Exhibit 24 - Power of Attorney

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