SEC Form 4 · accession 0001209191-15-034055
KalVista Pharmaceuticals, Inc. · KALV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Philip T Gianos
10% Owner
Arnold L Oronsky
10% Owner
Khaled Nasr
10% Owner
Gilbert H Kliman
10% Owner
W Stephen Holmes
10% Owner
Bruce A Cleveland
10% Owner
Douglas A Pepper
10% Owner
Nina S Kjellson
10% Owner
InterWest Partners IX, LP
10% Owner
Period of report
Apr 14, 2015
Accepted (ET)
Apr 14, 2015 · 5:26 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 | Apr 14, 2015 | C | 831,531 | — | A | 831,531 | I | See Footnote |
| Common StockF1,F2 | Apr 14, 2015 | C | 2,145,351 | — | A | 2,976,882 | I | See Footnote |
| Common StockF3,F2 | Apr 14, 2015 | C | 466,357 | — | A | 3,443,239 | I | See Footnote |
| Common StockF4,F2 | Apr 14, 2015 | C | 365,957 | — | A | 3,809,196 | I | See Footnote |
| Common StockF2 | Apr 14, 2015 | P | 810,000 | $5.00 | A | 4,619,196 | I | See Footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Convertible Preferred StockF1,F2 | — | Apr 14, 2015 | C | 831,531 | D | — | — | Common Stock | 831,531 | 0 | I |
| Series B Convertible Preferred StockF1,F2 | — | Apr 14, 2015 | C | 2,145,351 | D | — | — | Common Stock | 2,145,351 | 0 | I |
| Convertible Promissory NoteF3,F2 | — | Apr 14, 2015 | C | 466,357 | D | — | — | Common Stock | 466,357 | 0 | I |
| Convertible Promissory NoteF4,F2 | — | Apr 14, 2015 | C | 365,957 | D | — | — | Common Stock | 365,957 | 0 | I |
Explanation of responses
- F1Upon the closing of the Issuer's initial public offering, each share of Series A Convertible Preferred Stock and Series B Convertible Preferred Stock automatically converted into Common Stock on a one for one basis without payment or further consideration, and has no expiration date.
- F2The shares are held by InterWest Partners IX, L.P. ("IW9"). InterWest Management Partners IX, LLC ("IMP9"), the general partner of IW9, has sole voting and investment control over the shares held by IW9. Philip T. Gianos, W. Stephen Holmes, Gilbert H. Kliman and Arnold Oronsky are the managing directors of IMP9. Bruce A. Cleveland, Nina Kjellson, Khaled A. Nasr and Douglas A. Pepper are the venture members of IMP9. Each of the managing directors and venture members share voting and investment control with respect to the share held by IW9 and disclaims beneficial ownership of the shares reported herein, except to the extent of his respective pecuniary interest therein.
- F3The Convertible Promissory Note is convertible into the number of shares of the Issuer's Common Stock equal to the quotient obtained by dividing the entire principal amount and 184 days of accrued interest on the Convertible Promissory Note by 80% of the initial public offering price of $5.00 per share of the Issuer's Common Stock, automatically upon the closing of the Issuer's initial public offering, and has no expiration date.
- F4The Convertible Promissory Note is convertible into the number of shares of the Issuer's Common Stock equal to the quotient obtained by dividing the entire principal amount and 41 days of accrued interest on the Convertible Promissory Note by 80% of the initial public offering price of $5.00 per share of the Issuer's Common Stock, automatically upon the closing of the Issuer's initial public offering, and has no expiration date.
Remarks
Exhibit List Exhibit 99 - Form 4 Joint Filer Information