SEC Form 4 · accession 0001567619-19-001609
KalVista Pharmaceuticals, Inc. · KALV
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Christopher Yea
Officer — Chief Development Officer
Period of report
Jan 22, 2019
Accepted (ET)
Jan 24, 2019 · 7:48 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 Stock | Jan 22, 2019 | M | 1,302 | $0.0043 | A | 84,271 | D | |
| Common StockF2 | Jan 22, 2019 | S | 1,302 | $17.0038 | D | 82,969 | D | |
| Common Stock | Jan 23, 2019 | M | 600 | $0.0043 | A | 83,569 | D | |
| Common StockF3 | Jan 23, 2019 | S | 600 | $17.0083 | D | 82,969 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F4 | $0.0043 | Jan 22, 2019 | M | 1,302 | D | — | Mar 30, 2026 | Common Stock | 1,302 | 115,508 | D |
| Employee Stock Option (Right to Buy)F4 | $0.0043 | Jan 23, 2019 | M | 600 | D | — | Mar 30, 2026 | Common Stock | 606 | 114,908 | D |
Explanation of responses
- F1The transactions reported on this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the reporting person.
- F2The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.00 to $17.01 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F3The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.00 to $17.03 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F4This option is 100% vested and exercisable.