SEC Form 3 · accession 0001179110-17-010501
Kala Pharmaceuticals, Inc. · KALA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Howard B Rosen
Director
Period of report
Jul 19, 2017
Accepted (ET)
Jul 19, 2017 · 5:36 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 Stock | holding | — | — | — | 3,240 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F1 | $0.47 | holding | — | — | — | — | Jun 16, 2021 | Common Stock | 1,944 | — | D |
| Stock Option (right to buy)F2 | $0.68 | holding | — | — | — | — | May 10, 2023 | Common Stock | 2,880 | — | D |
| Stock Option (right to buy)F3 | $2.30 | holding | — | — | — | — | Oct 2, 2024 | Common Stock | 38,246 | — | D |
Explanation of responses
- F1This option is fully vested.
- F2This option is fully vested.
- F3This option was granted on October 2, 2014 and vests over four years, with 2.0833% of the shares underlying the option vested on February 28, 2014 and an additional 2.0833% vesting at the end of each successive one-month period thereafter.
Remarks
Exhibit List: Exhibit 24 - Power of Attorney