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*
Nau Jeffrey

(Last) (First) (Middle)
C/O OYSTER POINT PHARMA, INC.
202 CARNEGIE CENTER, SUITE 109

(Street)
PRINCETON NJ 08540

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
10/30/2019
3. Issuer Name and Ticker or Trading Symbol
Oyster Point Pharma, Inc. [ OYST ]
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)
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) 05/24/2027 Common Stock, par value $0.001 per share 11,031 0.2 D
Employee Stock Option (Right to Buy) (2) 11/10/2027 Common Stock, par value $0.001 per share 519,774 1.02 D
Employee Stock Option (Right to Buy) (3) 06/06/2029 Common Stock, par value $0.001 per share 309,721 5.33 D
Employee Stock Option (Right to Buy) (4) 06/06/2029 Common Stock, par value $0.001 per share 77,430 5.33 D
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
/s/Jeffrey Nau 10/30/2019
** 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
                               POWER OF ATTORNEY

    The undersigned, as a Section 16 reporting person of Oyster Point Pharma,
Inc. (the "Company"), hereby constitutes and appoints Daniel Lochner as the
undersigned's true and lawful attorney-in-fact to:

    1.  complete and execute Forms 3, 4 and 5 and other forms and all amendments
        thereto as such attorney-in-fact shall in his discretion determine to be
        required or advisable pursuant to Section 16 of the Securities Exchange
        Act of 1934 (as amended) and the rules and regulations promulgated
        thereunder, or any successor laws and regulations, as a consequence of
        the undersigned's ownership, acquisition or disposition of securities of
        the Company; and

    2.  do all acts necessary in order to file such forms with the Securities
        and Exchange Commission, any securities exchange or national
        association, the Company and such other person or agency as the
        attorney-in-fact shall deem appropriate.

    The undersigned hereby ratifies and confirms all that said attorney-in-fact
and agents shall do or cause to be done by virtue hereof. The undersigned
acknowledges that the foregoing attorney-in-fact, in serving in such capacity
at the request of the undersigned, is not assuming, nor is the Company
assuming, any of the undersigned's responsibilities to comply with Section 16 of
the Securities Exchange Act of 1934 (as amended).

    This Power of Attorney shall remain in full force and effect until the
undersigned is no longer required to file Forms 3, 4 and 5 with respect to the
undersigned's holdings of and transactions in securities issued by the Company,
unless earlier revoked by the undersigned in a signed writing delivered to the
Company and the foregoing attorney-in-fact.

    IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be
executed as of this 28th day of October, 2019.

                                              Signature:   /s/Jeffrey Nau
                                                        -------------------
                                              Print Name:  Jeffrey Nau