UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): March 1, 2022
(Exact name of registrant as specified in its charter)
| Delaware | 001-36152 | 20-3109565 | ||
| (State or other jurisdiction of incorporation) |
(Commission File Number) |
(I.R.S. Employer Identification Number) |
| 4301 Emperor Boulevard, Suite 400 Durham, North Carolina 27703 |
| (Address of principal executive offices) (Zip code) |
Registrant’s telephone number, including area code: (919) 237-5300
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
| ☐ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| ☐ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ☐ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ☐ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class |
Trading Symbol(s) |
Name of each exchange on which registered | ||
| Common Stock, par value $0.001 per share | AERI | Nasdaq Global Market |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
On March 2, 2022, Aerie Pharmaceuticals, Inc. (the “Company”) announced that, effective as of March 1, 2022 (the “Effective Date”), Benjamin F. McGraw, III, Pharm.D. will conclude his role as Interim Executive Chair of the Board of Directors of the Company (the “Board”) and in connection therewith will no longer serve as the Company’s principal financial officer. On the Effective Date, Dr. McGraw, Chair of the Board, will resume his status as an independent director. Also on the Effective Date, the Board designated Raj Kannan, the Company’s Chief Executive Officer, to serve as the Company’s principal financial officer, succeeding Dr. McGraw in such capacity, effective as of the Effective Date. Mr. Kannan will serve in the role of principal financial officer until such time as the Company appoints a new Chief Financial Officer. Mr. Kannan’s biographical and other information is included in the Company’s Current Report on Form 8-K, filed with the Securities and Exchange Commission on December 16, 2021, and is incorporated herein by reference.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| AERIE PHARMACEUTICALS, INC. | ||||||
| Date: March 2, 2022 | By: | /s/ John W. LaRocca | ||||
| John W. LaRocca | ||||||
| General Counsel and Secretary | ||||||