SEC Form 4 · accession 0001140361-16-088002
KalVista Pharmaceuticals, Inc. · KALV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Andrew Crockett
Officer — President and CEO · Director
Period of report
Nov 21, 2016
Accepted (ET)
Nov 28, 2016 · 8:29 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001348911
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 21, 2016 | A | 281,420 | — | A | 281,420 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Common Stock was received in exchange for 966,691 shares of KalVista Pharmaceuticals, Ltd. ordinary shares in connection with the closing of the share purchase transaction (the "Transaction") whereby KalVista Pharmaceuticals, Ltd. became a wholly-owned subsidiary of Carbylan Therapeutics, Inc., which changed its name to KalVista Pharmaceuticals, Inc. (the "Company"). 114,497 shares remain unvested and subject to repurchase. The unvested shares will be fully vested as of June 29, 2019. On the effective date of the Transaction, the closing price of the Company's common stock was $9.38 per share. All numbers give effect to the 14:1 reverse stock split effected by the Company on November 21, 2016. Prior to the reverse stock split, the closing price of the Company's common stock was $0.67 per share.