SEC Form 4 · accession 0001144204-17-052630
KalVista Pharmaceuticals, Inc. · KALV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Oct 12, 2017
Accepted (ET)
Oct 16, 2017 · 4:32 pm EDT
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,F2,F3 | Oct 12, 2017 | P | 850,000 | $8.50 | A | 1,441,070 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These securities include 684,902 shares held by RA Capital Healthcare Fund, L.P. (the "Fund") and 165,098 shares held in a separately managed account (the "Account").
- F2Following the reported transactions, the Fund held 1,171,353 shares and the Account held 269,717 shares.
- F3RA Capital Management, LLC (the "Adviser") is the general partner of the Fund and the investment adviser of the Account. Peter Kolchinsky is the sole manager of the Adviser. The Adviser and Mr. Kolchinsky disclaim beneficial ownership of the reported securities in reliance on Rule 16a-1(a)(1)(v) and (vii) and disclaim any obligation to file reports under Section 16 other than as directors by deputization. The Adviser and Mr. Kochinsky have no pecuniary interest in the reported securities held in the Account and disclaim: (A) beneficial ownership thereof for purposes of Rule 16a-1(a)(2) and (B) beneficial ownership of securities held by the Fund, for purposes of Rule 16a-1(a)(2), except to the extent of their pecuniary interest therein.