SEC Form 3 · accession 0001104659-19-013169
Ra Pharmaceuticals, Inc. · RARX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Alonso Ricardo
Officer — See Remarks
Period of report
Feb 24, 2019
Accepted (ET)
Mar 6, 2019 · 6:06 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001481512
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | holding | — | — | — | 14,285 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option to Purchase Common StockF1 | $0.84 | holding | — | — | — | — | Jun 14, 2022 | Common Stock | 2,857 | — | D |
| Option to Purchase Common StockF1 | $2.87 | holding | — | — | — | — | Dec 11, 2024 | Common Stock | 14,285 | — | D |
| Option to Purchase Common StockF2 | $2.87 | holding | — | — | — | — | Dec 10, 2025 | Common Stock | 30,000 | — | D |
| Option to Purchase Common StockF3 | $5.60 | holding | — | — | — | — | Aug 16, 2026 | Common Stock | 31,428 | — | D |
| Option to Purchase Common StockF4 | $16.64 | holding | — | — | — | — | Feb 1, 2027 | Common Stock | 60,000 | — | D |
| Option to Purchase Common StockF5 | $7.33 | holding | — | — | — | — | Feb 1, 2028 | Common Stock | 26,250 | — | D |
| Option to Purchase Common StockF6 | $21.00 | holding | — | — | — | — | Feb 1, 2029 | Common Stock | 107,000 | — | D |
| Restricted Stock UnitsF9,F7,F8 | $0.00 | holding | — | — | — | — | — | Common Stock | 8,750 | — | D |
Explanation of responses
- F1The shares underlying these options are fully vested and exercisable.
- F2These stock options vest in 48 equal monthly installments on each monthly anniversary following December 10, 2015, the grant date.
- F3These stock options vest in 48 equal monthly installments on each monthly anniversary following August 16, 2016, the grant date.
- F4These stock options vest in 48 equal monthly installments on each monthly anniversary following February 1, 2017, the grant date.
- F5These stock options vest in 48 equal monthly installments on each monthly anniversary following February 1, 2018, the grant date.
- F6These stock options vest in 48 equal monthly installments on each monthly anniversary following February 1, 2019, the grant date.
- F7On February 1, 2018, the reporting person was granted 13,125 restricted stock units, which have vested and settled or will vest and settle in three equal installments on each of February 1, 2019, February 1, 2020, and February 1, 2021.
- F8Not applicable.
- F9Each restricted stock unit represents a contingent right to receive one share of Issuer common stock.
Remarks
Title: Chief Technology and Innovation Officer, and Head of Research Exhibit 24.1: Limited Power of Attorney