SEC Form 4 · accession 0001104659-17-046803
Kala Pharmaceuticals, Inc. · KALA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Period of report
Jul 25, 2017
Accepted (ET)
Jul 25, 2017 · 4:04 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001479419
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Jul 25, 2017 | C | 888,894 | — | A | 888,894 | D | |
| Common StockF2 | Jul 25, 2017 | C | 846,566 | — | A | 846,566 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series B-1 Convertible Preferred StockF1 | — | Jul 25, 2017 | C | 4,629,629 | D | — | — | Common Stock | 888,894 | 0 | D |
| Series C Convertible Preferred StockF2 | — | Jul 25, 2017 | C | 4,409,170 | D | — | — | Common Stock | 846,566 | 0 | D |
Explanation of responses
- F1The Series B-1 Convertible Preferred Stock converted into Common Stock on a 5.2083-for-one basis upon the closing of the Issuer's initial public offering. The shares had no expiration date.
- F2The Series C Convertible Preferred Stock converted into Common Stock on a 5.2083-for-one basis upon the closing of the Issuer's initial public offering. The shares had no expiration date.