SEC Form 4 · accession 0000899243-18-026453
Kodiak Sciences Inc. · KOD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Victor Perlroth
Officer — Chairman and CEO · Director · 10% Owner
Period of report
Oct 9, 2018
Accepted (ET)
Oct 9, 2018 · 5:58 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001468748
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Oct 9, 2018 | C | 56,180 | $0.00 | A | 4,055,358 | D | |
| Common StockF2 | Oct 9, 2018 | C | 56,180 | $0.00 | A | 56,180 | 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 Redeemable Convertible Preferred StockF1 | $0.00 | Oct 9, 2018 | C | 56,180 | D | — | — | Common Stock | 56,180 | 0 | D |
| Series A Redeemable Convertible Preferred StockF2,F1 | $0.00 | Oct 9, 2018 | C | 56,180 | D | — | — | Common Stock | 56,180 | 0 | I |
Explanation of responses
- F1Each share of Series A Redeemable Convertible Preferred Stock automatically converted into one share of common stock upon the closing of the Issuer's initial public offering of common stock and had no expiration date.
- F2Shares held by PENSCO Trust Company FBO Daniel Victor Perlroth.