SEC Form 4 · accession 0001179110-18-003327
Kala Pharmaceuticals, Inc. · KALA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Hongming Chen
Officer — Chief Scientific Officer
Period of report
Feb 28, 2018
Accepted (ET)
Mar 2, 2018 · 5:19 pm EST
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 | Feb 28, 2018 | M | 4,000 | $2.30 | A | 50,080 | D | |
| Common Stock | Feb 28, 2018 | M | 5,769 | $2.24 | A | 55,849 | 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 | $2.30 | Feb 28, 2018 | M | 4,000 | D | — | Oct 2, 2024 | Common Stock | 4,000 | 106,236 | D |
| Stock Option (right to buy)F2 | $2.24 | Feb 28, 2018 | M | 5,769 | D | — | Sep 27, 2023 | Common Stock | 5,769 | 0 | D |
Explanation of responses
- F1This option was granted on October 2, 2014 and vests over four years, with 2.0833% of the shares underlying the option vested on August 21, 2014 and an additional 2.0833% of the shares vesting at the end of each successive one-month period thereafter.
- F2The option with respect to these shares is fully vested.