SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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*
Brady Todd C

(Last) (First) (Middle)
C/O ALDEYRA THERAPEUTICS, INC.
15 NEW ENGLAND EXECUTIVE PARK

(Street)
BURLINGTON MA 01803

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
05/01/2014
3. Issuer Name and Ticker or Trading Symbol
Aldeyra Therapeutics, Inc. [ ALDX ]
4. 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
5. 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
Table I - Non-Derivative Securities Beneficially Owned
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 2,589 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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: 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) (1) 09/07/2023 Common Stock 192,084 0.552 D
Employee Stock Option (Right to Buy) (2) 09/07/2023 Common Stock 32,953 0.552 D
Employee Stock Option (Right to Buy) (3) 09/07/2023 Common Stock 48,021 0.552 D
Employee Stock Option (Right to Buy) (4) 10/29/2023 Common Stock 96,042 4.56 D
Explanation of Responses:
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.
Remarks:
/s/ Todd C. Brady 05/01/2014
** 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 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).
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