# EDGAR Filing Document

**Accession Number:** 0001720725
**File Stem:** 0001209191-23-001084
**Filing Date:** 2023-1
**Character Count:** 12365
**Document Hash:** 8c2b421d7220bfcca12df356554815e9
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001209191-23-001084.hdr.sgml**: 20230104

**ACCESSION NUMBER**: 0001209191-23-001084

**CONFORMED SUBMISSION TYPE**: 4

**PUBLIC DOCUMENT COUNT**: 1

**CONFORMED PERIOD OF REPORT**: 20220129

**FILED AS OF DATE**: 20230104

**DATE AS OF CHANGE**: 20230104

**REPORTING-OWNER**: 

**OWNER DATA:**
- **COMPANY CONFORMED NAME:** Nau Jeffrey
- **CENTRAL INDEX KEY:** 0001791159

**FILING VALUES:**
- **FORM TYPE:** 4
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39112
- **FILM NUMBER:** 23507707

**MAIL ADDRESS:**
- **STREET 1:** 202 CARNEGIE CENTER
- **STREET 2:** SUITE 106
- **CITY:** PRINCETON
- **STATE:** NJ
- **ZIP:** 08540
**ISSUER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Oyster Point Pharma, Inc.
- **CENTRAL INDEX KEY:** 0001720725
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **IRS NUMBER:** 811030955
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**BUSINESS ADDRESS:**
- **STREET 1:** 202 CARNEGIE CENTER
- **STREET 2:** SUITE 106
- **CITY:** PRINCETON
- **STATE:** NJ
- **ZIP:** 08540
- **BUSINESS PHONE:** (609) 382-9032

**MAIL ADDRESS:**
- **STREET 1:** 202 CARNEGIE CENTER
- **STREET 2:** SUITE 106
- **CITY:** PRINCETON
- **STATE:** NJ
- **ZIP:** 08540

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## FORM 4

### STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

[x] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

[ ] Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

---

| | | |
|:---|:---|:---|
| **1. Name and Address of Reporting Person**<sup>*</sup><br>Nau Jeffrey<br><sub>(Last) (First) (Middle)</sub><br>C/O OYSTER POINT PHARMA, INC.<br>202 CARNEGIE CENTER, SUITE 106<br><sub>(Street)</sub><br>PRINCETON, NJ 08540<br><sub>(City) (State) (Zip)</sub> | **3. Date of Earliest Transaction (Month/Day/Year)**<br>2022-01-29 | **5. Relationship of Reporting Person(s) to Issuer**<br>(Check all applicable)<br>[X] Director [ ] 10% Owner<br>[X] Officer (give title below) [ ] Other (specify below)<br>_President and CEO_ |
| **2. Issuer Name and Ticker or Trading Symbol**<br>Oyster Point Pharma, Inc. [ OYST ] | **4. If Amendment, Date of Original Filed (Month/Day/Year)**<br>  | **6. Individual or Joint/Group Filing (Check Applicable Line)**<br>[X] Form filed by One Reporting Person<br>[ ] Form filed by More than One Reporting Person |

---

## Table I - Non-Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | 3. Transaction Code (V) | 3. Transaction Code (V) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 4. Securities Acquired (A) or Disposed of (D) | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| 1. Title of Security | 2. Transaction Date | 2A. Deemed Execution Date | Code | V | Amount | (A) or (D) | Price | 5. Amount of Securities Beneficially Owned | 6. Ownership Form | 7. Nature of Indirect Beneficial Ownership |
| Common Stock | 2022-01-29 |  | F<sup>(1)</sup> |  | 2607 | D | $11.70 | 148713<sup>(2)</sup> | D |  |
| Common Stock | 2023-01-03 |  | U |  | 100738 | D | <sup>(3)(4)</sup> | 47975 | D |  |
| Common Stock | 2023-01-03 |  | D |  | 47975<sup>(5)</sup> | D | <sup>(5)</sup> | 0 | D |  |
| Common Stock | 2023-01-03 |  | D |  | 1000 | D | <sup>(3)(4)</sup> | 0 | I | By Spouse |

---

## Table II - Derivative Securities

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | 4. Transaction Code (V) | 4. Transaction Code (V) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Underlying Securities | 7. Title and Amount of Underlying Securities | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| 1. Title of Derivative Security | 2. Conversion or Exercise Price | 3. Transaction Date | 3A. Deemed Execution Date | Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | 8. Price of Derivative Security | 9. Number of Derivative Securities Beneficially Owned | 10. Ownership Form | 11. Nature of Indirect Beneficial Ownership |
| Performance Stock Units | <sup>(6)</sup> | 2023-01-03 |  | D |  |  | 350000 | <sup>(7)</sup> | 2032-07-05 | Common Stock | 350000 | <sup>(7)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $0.20 | 2023-01-03 |  | D |  |  | 11031 | <sup>(8)(9)</sup> | 2027-05-24 | Common Stock | 11031 | <sup>(10)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $1.02 | 2023-01-03 |  | D |  |  | 434774 | <sup>(8)(9)</sup> | 2027-11-10 | Common Stock | 434774 | <sup>(10)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $5.33 | 2023-01-03 |  | D |  |  | 387151 | <sup>(8)(9)</sup> | 2029-06-06 | Common Stock | 387151 | <sup>(10)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $32.65 | 2023-01-03 |  | D |  |  | 211533 | <sup>(8)(9)</sup> | 2030-02-02 | Common Stock | 211533 | <sup>(10)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $18.77 | 2023-01-03 |  | D |  |  | 116539 | <sup>(8)(9)</sup> | 2031-01-28 | Common Stock | 116539 | <sup>(10)</sup> | 0 | D |  |
| Stock Option (Right to Buy) | $16.00 | 2023-01-03 |  | D |  |  | 210000 | <sup>(8)(9)</sup> | 2032-01-08 | Common Stock | 210000 | <sup>(10)</sup> | 0 | D |  |

---

### Footnotes:

(1) The transaction reported represents the withholding of shares by the Issuer on January 29, 2022 to satisfy the Reporting Person's tax withholding obligations in connection with the non-reportable vesting and settlement of restricted stock units. This transaction is being reported late due to an inadvertent administrative error.

(2) Includes an aggregate of 2,660 shares of common stock acquired under the Issuer's Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d) and Rule 16b-3(c).

(3) Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated November 7, 2022, among the Issuer, Iris Purchaser Inc. ("Purchaser"), a wholly owned subsidiary of Viatris, Inc. ("Viatris"), and Viatris, Purchaser commenced a tender offer (the "Offer") to purchase all the outstanding common stock of the Issuer for the Per Share Price (as defined below). On January 3, 2023, the Offer was consummated, after which Purchaser merged with and into the Issuer with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Viatris (the "Merger"). At the consummation of the Offer and the Merger, respectively, (i) Purchaser purchased all shares of Issuer's common stock that were validly tendered pursuant to the Offer for a cash payment equal to the Per Share Price and (ii) each share of the Issuer's common stock that was issued and outstanding immediately prior to the effective time of the Merger (the "Effective Time")(continued in Footnote 4)

(4) (other than shares that were held (a) by the Issuer (including any treasury shares) or by Viatris or Purchaser or any other direct or indirect wholly owned subsidiary of Viatris or (b) by stockholders of the Issuer who had properly exercised and perfected, and not withdrawn or otherwise lost, their appraisal rights under the Delaware General Corporate Law) was cancelled and converted into the right to receive (a) a cash payment of $11.00 per share (the "Cash Amount") and (b) one non-transferable contractual contingent value right representing the right to receive any applicable milestone payment if specified milestones are achieved (the "Milestone Payment" and together with the Cash Amount, the "Per Share Price") pursuant to a Contingent Value Rights Agreement, dated January 3, 2023, by and between Viatris and American Stock Transfer & Trust Company, LLC as Rights Agent.

(5) This line item represents unvested restricted stock units with respect to the Issuer's common stock ("RSUs") held by the Reporting Person. Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unvested RSU or portion thereof was converted into a restricted stock unit with respect to Viatris common stock (rounded down to the nearest whole share) determined by multiplying the total number of shares deliverable under such RSUs as of immediately prior to the Effective Time and the Equity Award Exchange Ratio (as defined in the Merger Agreement), subject to substantially the same terms and conditions, including vesting conditions, as were applicable to such RSUs immediately prior to the Effective Time.

(6) This line item represents performance stock units ("PSUs") held by the Reporting Person. Each PSU represents a contingent right to receive one share of common stock of the Issuer.

(7) Pursuant to the Merger Agreement, at the Effective Time, each outstanding and unvested PSU was converted into a time-based vesting restricted stock unit with respect to Viatris common stock (rounded down to the nearest whole share) determined by multiplying the target number of shares deliverable under such PSUs as of immediately prior to the Effective Time and the Equity Award Exchange Ratio (as defined in the Merger Agreement), subject to substantially the same terms and conditions, including vesting conditions, as were applicable to such PSUs immediately prior to the Effective Time.

(8) This line item represents stock options held by the Reporting Person. Pursuant to the Merger Agreement, at the Effective Time, each outstanding vested stock option with an exercise price less than $13.00 was canceled and converted into the right to receive an amount in cash, equal to the excess, if any, of the Per Share Price over the exercise price applicable to such stock option, less applicable tax withholdings.

(9) In addition, pursuant to the Merger Agreement, at the Effective Time, each outstanding, unvested and unexercised stock option with an exercise price less than $13.00 will be converted into an option to purchase a number of shares of Viatris common stock (rounded down to the nearest whole share) determined by multiplying the number of shares deliverable under such stock option as of immediately prior to the Effective Time and the Equity Award Exchange Ratio (as defined in the Merger Agreement), and with an exercise price per share that is equal to the quotient (rounded up to the nearest cent) of the exercise price per share of such stock option as of immediately prior to the Effective Time divided by the Equity Award Exchange Ratio, subject to substantially the same terms and conditions, including vesting conditions, as were applicable to such stock option immediately prior to the Effective Time.

(10) Each vested and unvested stock option that has an exercise price per share that is equal to or greater than the Per Share Price will be canceled for no consideration.

**Signature:** /s/ Brandon Fenn, Attorney-in-Fact  
**Date:** 2023-01-04

### Remarks:

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).

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.**