Amended Statement of Ownership (sc 13g/a)
February 14 2022 - 4:05PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
(Amendment No. 1)*
Under the Securities Exchange Act of 1934
Graybug
Vision, Inc.
(Name of Issuer)
Common Stock, par value $0.0001 per share
(Title of Class of Securities)
38942Q103
(CUSIP Number)
December 31, 2021
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to
designate the rule pursuant to which this Schedule is filed:
☐ Rule 13d-1(b)
☐ Rule 13d-1(c)
☒
Rule 13d-1(d)
*
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The remainder of this cover page shall be filled out for a reporting persons initial filing of this form
with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
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The information required on the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities
Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act.
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CUSIP No. 38942Q103
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Page
2
of 12
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1.
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Name of Reporting Person
I.R.S.
Identification No. of Above Person (Entities Only)
Hatteras Venture
Partners IV SBIC, L.P.
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2.
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Check the Appropriate Box
if a Member of a Group
(a) ☐ (b) ☐
Not Applicable
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3.
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SEC Use Only
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4.
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Citizenship or Place of
Organization
Delaware
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Number of
Shares
Beneficially
Owned By
Each
Reporting
Person
with
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5.
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Sole Voting Power
0
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6.
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Shared Voting Power
0
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7.
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Sole Dispositive Power
0
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8.
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Shared Dispositive Power
0
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
0
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10.
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Check Box if the Aggregate
Amount in Row (9) Excludes Certain Shares ☐
Not
Applicable
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11.
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Percent of Class
Represented by Amount in Row (9)
0%
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12.
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Type of Reporting Person
PN
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CUSIP No. 38942Q103
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Page
3
of 12
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1.
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Name of Reporting Person
I.R.S.
Identification No. of Above Person (Entities Only)
Hatteras Venture
Advisors IV SBIC, LLC
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2.
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Check the Appropriate Box
if a Member of a Group
(a) ☐ (b) ☐
Not Applicable
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3.
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SEC Use Only
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4.
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Citizenship or Place of
Organization
Delaware
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Number of
Shares
Beneficially
Owned By
Each
Reporting
Person
with
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5.
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Sole Voting Power
0
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6.
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Shared Voting Power
0
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7.
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Sole Dispositive Power
0
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8.
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Shared Dispositive Power
0
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
0
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10.
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Check Box if the Aggregate
Amount in Row (9) Excludes Certain Shares ☐
Not
Applicable
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11.
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Percent of Class
Represented by Amount in Row (9)
0%
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12.
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Type of Reporting Person
OO
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CUSIP No. 38942Q103
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Page
4
of 12
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1.
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Name of Reporting Person
I.R.S.
Identification No. of Above Person (Entities Only)
John C.
Crumpler
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2.
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Check the Appropriate Box
if a Member of a Group
(a) ☐ (b) ☐
Not Applicable
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3.
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SEC Use Only
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4.
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Citizenship or Place of
Organization
United States of
America
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Number of
Shares
Beneficially
Owned By
Each
Reporting
Person
with
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5.
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Sole Voting Power
0
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6.
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Shared Voting Power
43,064
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7.
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Sole Dispositive Power
0
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8.
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Shared Dispositive Power
43,064
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
43,064
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10.
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Check Box if the Aggregate
Amount in Row (9) Excludes Certain Shares ☐
Not
Applicable
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11.
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Percent of Class
Represented by Amount in Row (9)
0.2%
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12.
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Type of Reporting Person
IN
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CUSIP No. 38942Q103
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Page
5
of 12
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1.
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Name of Reporting Person
I.R.S.
Identification No. of Above Person (Entities Only)
Clay B.
Thorp
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2.
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Check the Appropriate Box
if a Member of a Group
(a) ☐ (b) ☐
Not Applicable
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3.
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SEC Use Only
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4.
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Citizenship or Place of
Organization
United States of
America
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Number of
Shares
Beneficially
Owned By
Each
Reporting
Person
with
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5.
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Sole Voting Power
0
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6.
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Shared Voting Power
43,064
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7.
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Sole Dispositive Power
0
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8.
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Shared Dispositive Power
43,064
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
43,064
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10.
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Check Box if the Aggregate
Amount in Row (9) Excludes Certain Shares ☐
Not
Applicable
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11.
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Percent of Class
Represented by Amount in Row (9)
0.2%
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12.
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Type of Reporting Person
IN
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CUSIP No. 38942Q103
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Page
6
of 12
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1.
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Name of Reporting Person
I.R.S.
Identification No. of Above Person (Entities Only)
Kenneth B.
Lee
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2.
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Check the Appropriate Box
if a Member of a Group
(a) ☐ (b) ☐
Not Applicable
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3.
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SEC Use Only
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4.
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Citizenship or Place of
Organization
United States of
America
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Number of
Shares
Beneficially
Owned By
Each
Reporting
Person
with
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5.
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Sole Voting Power
0
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6.
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Shared Voting Power
43,064
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7.
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Sole Dispositive Power
0
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8.
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Shared Dispositive Power
43,064
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
43,064
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10.
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Check Box if the Aggregate
Amount in Row (9) Excludes Certain Shares ☐
Not
Applicable
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11.
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Percent of Class
Represented by Amount in Row (9)
0.2%
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12.
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Type of Reporting Person
IN
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CUSIP No. 38942Q103
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Page
7
of 12
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1.
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Name of Reporting Person
I.R.S.
Identification No. of Above Person (Entities Only)
Douglas
Reed
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2.
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Check the Appropriate Box
if a Member of a Group
(a) ☐ (b) ☐
Not Applicable
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3.
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SEC Use Only
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4.
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Citizenship or Place of
Organization
United States of
America
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Number of
Shares
Beneficially
Owned By
Each
Reporting
Person
with
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5.
|
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Sole Voting Power
0
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|
6.
|
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Shared Voting Power
43,064
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7.
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Sole Dispositive Power
0
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8.
|
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Shared Dispositive Power
43,064
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
43,064
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10.
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Check Box if the Aggregate
Amount in Row (9) Excludes Certain Shares ☐
Not
Applicable
|
11.
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Percent of Class
Represented by Amount in Row (9)
0.2%
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12.
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Type of Reporting Person
IN
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CUSIP No. 38942Q103
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Page
8
of 12
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1.
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Name of Reporting Person
I.R.S.
Identification No. of Above Person (Entities Only)
Robert A.
Ingram
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2.
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Check the Appropriate Box
if a Member of a Group
(a) ☐ (b) ☐
Not Applicable
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3.
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SEC Use Only
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4.
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Citizenship or Place of
Organization
United States of
America
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Number of
Shares
Beneficially
Owned By
Each
Reporting
Person
with
|
|
5.
|
|
Sole Voting Power
0
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|
6.
|
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Shared Voting Power
43,064
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7.
|
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Sole Dispositive Power
0
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8.
|
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Shared Dispositive Power
43,064
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person
43,064
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10.
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Check Box if the Aggregate
Amount in Row (9) Excludes Certain Shares
Not Applicable
|
11.
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Percent of Class
Represented by Amount in Row (9)
0.2%
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12.
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Type of Reporting Person
IN
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CUSIP No. 38942Q103
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Page
9
of 12
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Graybug Vision, Inc. (the Issuer)
Item 1(b)
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Address of Issuers Principal Executive Offices
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275 Shoreline Drive, Suite 450, Redwood City, California 94065
Item 2(a)
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Name of Person Filing
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This Schedule 13G/A is being filed by:
Hatteras Venture Partners IV SBIC, L.P. (HVP SBIC)
Hatteras Venture Advisors IV SBIC, LLC (HVA SBIC)
John C. Crumpler
Clay B. Thorp
Kenneth B. Lee
Douglas
Reed
Robert A. Ingram
(collectively, the Reporting Persons).
Item 2(b)
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Address of Principal Business Office, or if none, Residence
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280 S. Mangum Street, Suite 350, Durham, North Carolina 27701.
The Reporting Persons are citizens of:
HVP SBIC Delaware
HVA SBIC
Delaware
John C. Crumpler USA
Clay B. Thorp USA
Kenneth
B. Lee USA
Douglas Reed USA
Robert A. Ingram USA
Item 2(d)
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Title of Class of Securities
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Common Stock, par value $0.0001 per share (Common Stock)
38942Q103
Item 3.
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Filing pursuant to Rules 13d-1(b) or
13d-2(b) or (c)
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Not Applicable
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CUSIP No. 38942Q103
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Page
10
of 12
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(a) The Reporting Persons are the beneficial owners of an aggregate of 43,064
shares of Common Stock, which represents 0.2% of the Issuers outstanding Common Stock based upon 21,319,635 shares outstanding on November 8, 2021
as reported by the Issuer in its Form 10-Q for the quarterly period ended September 30, 2021 as filed with the Securities and Exchange Commission on November 12, 2021.
(b) Percent of class:
HVP SBIC
0%
HVA SBIC 0%
John C. Crumpler 0.2%
Clay B. Thorp 0.2%
Kenneth B. Lee 0.2%
Douglas Reed 0.2%
Robert
A. Ingram 0.2%
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote: 0
(ii) Shared power to vote or to direct the vote:
HVP SBIC 0
HVA SBIC 0
John C. Crumpler 43,064
Clay B. Thorp 43,064
Kenneth B. Lee 43,064
Douglas Reed 43,064
Robert A. Ingram 43,064
(iii) Sole power to dispose or to direct the disposition of: 0
(iv) Shared power to dispose or to direct the disposition of:
HVP SBIC 0
HVA SBIC 0
John C. Crumpler 43,064
Clay B. Thorp 43,064
Kenneth B. Lee 43,064
Douglas Reed 43,064
Robert A. Ingram 43,064
Item 5.
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Ownership of Five Percent or Less of a Class
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If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of
more than five percent of the class of securities, check the following: ☒
Item 6.
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Ownership of More than Five Percent on Behalf of Another Person
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Not Applicable
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CUSIP No. 38942Q103
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Page
11
of 12
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Item 7.
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the
Parent Holding Company
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Not Applicable
Item 8.
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Identification and Classification of Members of the Group
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Not Applicable
Item 9.
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Notice of Dissolution of Group
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Not Applicable
By signing below each of the undersigned certifies that, to the best of his, her or its knowledge and belief, the securities referred to above
were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having
that purpose or effect, other than activities solely in connection with a nomination under §240.14a-11.
Exhibit Index
Exhibit A Agreement Regarding
the Joint Filing of Schedule 13G is incorporated by reference to Exhibit A included in the Schedule 13G filed by the Reporting Persons on February 12, 2021.
Exhibit B Power of Attorney is incorporated by reference to Exhibit B included in the Schedule 13G filed by the Reporting Persons on February 12,
2021.
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CUSIP No. 38942Q103
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Page
12
of 12
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SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true,
complete and correct.
Date: February 14, 2022
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HATTERAS VENTURE PARTNERS IV SBIC, L.P.
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By:
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Hatteras Venture Advisors IV SBIC, LLC, its general partner
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By:
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/s/ Clay B. Thorp
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Manager
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HATTERAS VENTURE ADVISORS IV SBIC, LLC
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By:
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/s/ Clay B. Thorp
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Manager
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*
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John C. Crumpler
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Clay B. Thorp
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*
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Kenneth B. Lee
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*
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Douglas Reed
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*
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Robert A. Ingram
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By:
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/s/ Clay B. Thorp
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Clay B. Thorp, as Attorney-in-Fact
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