SEC Form 4/A · accession 0001209191-15-036216

KalVista Pharmaceuticals, Inc. · KALV

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

This is an amendment (Form 4/A). It replaces an earlier filing for the same period.

Reporting owners

VIVO VENTURES VI AFFIILATES FUND, L.P.

10% Owner

Vivo Ventures Fund VI, L.P.

10% Owner

Vivo Ventures VI, LLC

10% Owner

Period of report

Apr 14, 2015

Accepted (ET)

Apr 24, 2015 · 7:03 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 Stock^F2,F1,F6	Apr 14, 2015	C	2,476,452	—	A	2,476,452	I	See Footnotes
Common Stock^F3,F1,F6	Apr 14, 2015	C	18,140	—	A	2,494,592	I	See Footnotes
Common Stock^F2,F4,F6	Apr 14, 2015	C	387,960	—	A	2,882,552	I	See Footnotes
Common Stock^F3,F4,F6	Apr 14, 2015	C	2,842	—	A	2,885,394	I	See Footnotes
Common Stock^F2,F5,F6	Apr 14, 2015	C	304,438	—	A	3,189,832	I	See Footnotes
Common Stock^F3,F5,F6	Apr 14, 2015	C	2,230	—	A	3,192,062	I	See Footnotes
Common Stock^F2,F6	Apr 14, 2015	P	1,005,136	$5.00	A	4,197,198	I	See Footnotes
Common Stock^F3,F6	Apr 14, 2015	P	7,364	$5.00	A	4,204,562	I	See Footnotes

Table II — derivative securities

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Series B Convertible Preferred Stock^F1,F2	—	Apr 14, 2015	C	2,476,452	D	—	—	Common Stock	2,476,452	I
Series B Convertible Preferred Stock^F1,F3	—	Apr 14, 2015	C	18,140	D	—	—	Common Stock	18,140	I
Convertible Promissory Note^F4,F2	—	Apr 14, 2015	C	387,960	D	—	—	Common Stock	387,960	I
Convertible Promissory Note^F4,F3	—	Apr 14, 2015	C	2,842	D	—	—	Common Stock	2,842	I
Convertible Promissory Note^F5,F2	—	Apr 14, 2015	C	304,438	D	—	—	Common Stock	304,438	I
Convertible Promissory Note^F5,F3	—	Apr 14, 2015	C	2,230	D	—	—	Common Stock	2,230	I

Explanation of responses

F1Upon the closing of the Issuer's initial public offering, each share of 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 reported shares are held directly by Vivo Ventures Fund VI, L.P. ("VIF"). Vivo Ventures VI, LLC ("Vivo LLC") is the general partner of VIF. As such, Vivo LLC may be deemed to be the beneficial owner of the shares held directly by VIF. The managers of Vivo LLC include Frank Kung, Edgar Engleman, and Albert Cha. Accordingly, each Frank Kung, Edgar Engleman and Albert Cha may be deemed to be the beneficial owner of the shares held directly by VIF. Each of Vivo LLC, Frank Kung, Edgar Engleman and Albert Cha disclaims beneficial ownership of the securities held by VIF, except to the extent of such individual's or entity's pecuniary interests in the securities.
F3The reported shares are held directly by Vivo Ventures VI Affiliates Fund, L.P. ("VIAF"). Vivo Ventures VI, LLC ("Vivo LLC") is the general partner of VIAF. As such, Vivo LLC may be deemed to be the beneficial owner of the shares held directly by VIAF. The managers of Vivo LLC include Frank Kung, Edgar Engleman, and Albert Cha. Accordingly, each Frank Kung, Edgar Engleman and Albert Cha may be deemed to be the beneficial owner of the shares held directly by VIAF. Each of Vivo LLC, Frank Kung, Edgar Engleman and Albert Cha disclaims beneficial ownership of the securities held by VIAF, except to the extent of such individual's or entity's pecuniary interests in the securities.
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 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.
F5The 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.
F6The number of shares in Column 5 represents the aggregate number of shares directly beneficially owned by both VIF and VIAF. Vivo LLC, the Designated Reporting Person, is the general partner of both VIF and VIAF.