Sec Form 4 Filing - InvOpps GP IV, L.L.C. @ Oyster Point Pharma, Inc. - 2019-11-04

Every director, officer or owner of more than ten percent of a class of equity securities registered under Section 12 of the '34 Act must file with the U.S. Securities and Exchange Commission (SEC) a statement of ownership regarding such security.

Form 4: Statement of changes in beneficial ownership, filed before the end of the 2nd business day following the day on which a transaction resulting in a change in beneficial ownership.

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FORM 4
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 *
InvOpps GP IV, L.L.C.
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 X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last)
(First)
(Middle)
126 EAST 56TH STREET, 20TH FLOOR
3. Date of Earliest Transaction (MM/DD/YY)
11/04/2019
(Street)
NEW YORK, NY10022
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
_____ Form filed by One Reporting Person
__ X __ 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
Common Stock, par value $0.001 per share 11/04/2019 C 609,965 A 609,965 I See Footnotes ( 2 ) ( 4 ) ( 5 )
Common Stock, par value $0.001 per share 11/04/2019 C 1,230,050 A 1,230,050 I See Footnotes ( 3 ) ( 4 ) ( 5 )
Common Stock, par value $0.001 per share 11/04/2019 P 248,625 A $ 16 858,590 I See Footnotes ( 2 ) ( 4 ) ( 5 )
Common Stock, par value $0.001 per share 11/04/2019 P 501,375 A $ 16 1,731,425 I See Footnotes ( 3 ) ( 4 ) ( 5 )
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
Series B Convertible Preferred Stock ( 1 ) 11/04/2019 C 609,965 ( 1 ) ( 1 ) Common Stock, par value $0.001 per share 609,965 ( 1 ) 0 I See Footnotes ( 2 ) ( 4 ) ( 5 )
Series B Convertible Preferred Stock ( 1 ) 11/04/2019 C 1,230,050 ( 1 ) ( 1 ) Common Stock, par value $0.001 per share 1,230,050 ( 1 ) 0 I See Footnotes ( 3 ) ( 4 ) ( 5 )
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
InvOpps GP IV, L.L.C.
126 EAST 56TH STREET, 20TH FLOOR
NEW YORK, NY10022
X X
InvOpps IV, L.P.
126 EAST 56TH STREET, 20TH FLOOR
NEW YORK, NY10022
X X
InvOpps IV US, L.P.
126 EAST 56TH STREET, 20TH FLOOR
NEW YORK, NY10022
X X
LAINOVIC SACHA
126 EAST 56TH STREET, 20TH FLOOR
NEW YORK, NY10022
X X
Signatures
INVOPPS IV US, L.P., By: InvOpps GP IV, L.L.C., its general partner, By: /s/ Sacha Lainovic, Name: Sacha Lainovic, Title: Managing Member 11/06/2019
** Signature of Reporting Person Date
INVOPPS IV, L.P., By: InvOpps GP IV, L.L.C., its general partner, By: /s/ Sacha Lainovic, Name: Sacha Lainovic, Title: Managing Member 11/06/2019
** Signature of Reporting Person Date
INVOPPS GP IV, L.L.C., By: /s/ Sacha Lainovic, Name: Sacha Lainovic, Title: Managing Member 11/06/2019
** Signature of Reporting Person Date
/s/ Sacha Lainovic 11/06/2019
** Signature of Reporting Person Date
Explanation of Responses:
( 1 )These shares of Series B Convertible Preferred Stock automatically converted into shares of the Issuer's common stock (the "Common Stock"), on a one-for-one basis, immediately prior to the completion of the Issuer's initial public offering. The Series B Convertible Preferred Stock had no expiration date.
( 2 )Reflects securities directly held by InvOpps IV US, L.P. ("Invus IV US").
( 3 )Reflects securities directly held by InvOpps IV, L.P. ("Invus IV").
( 4 )InvOpps GP IV, L.L.C. ("InvOpps GP") is the sole general partner of each of Invus IV and Invus IV US. Sacha Lainovic is the managing member of InvOpps GP.
( 5 )Each of the Reporting Persons (other than to the extent it directly holds securities reported herein) disclaims beneficial ownership of the securities held by the other Reporting Persons, except to the extent of such Reporting Person's pecuniary interest therein, and, pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), each of the Reporting Persons (other than to the extent it directly holds securities reported herein) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

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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