SEC Form 4 · accession 0001144204-18-052768
Kala Pharmaceuticals, Inc. · KALA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rajeev M. Shah
Director · 10% Owner
Period of report
Oct 3, 2018
Accepted (ET)
Oct 5, 2018 · 4:34 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,F2,F3 | Oct 3, 2018 | P | 2,424,242 | $8.25 | A | 4,537,478 | I | See footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Includes (a) 2,000,301 shares of Common Stock that are held by RA Capital Healthcare Fund, L.P.(the "Fund") and (b) 423,941 shares of Common Stock that are held in an account owned by a separately managed account (the "Account").
- F2Following the reported transaction, the Fund held 3,727,401 shares and the Account held 810,077 shares.
- F3RA Capital Management, LLC (the "Adviser") is the general partner of the Fund and the investment adviser of the Account. Peter Kolchinsky is the sole manager of the Adviser, and Mr. Shah is a managing director of the Adviser. Mr. Shah has no pecuniary interest in the reported securities held in the Account and therefore disclaims beneficial ownership of those securities. Mr. Shah disclaims beneficial ownership of the reported securities held by the Fund except to the extent of his pecuniary interest therein.