SEC Form 4 · accession 0001209191-16-147941

Ra Pharmaceuticals, Inc. · RARX

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

A/S Novo

10% Owner

Period of report

Oct 31, 2016

Accepted (ET)

Nov 2, 2016 · 4:54 pm EDT

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
Common Stock^F1	Oct 31, 2016	C	924,970	—	A	924,970	D
Common Stock^F1	Oct 31, 2016	C	860,438	—	A	1,785,408	D
Common Stock	Oct 31, 2016	P	246,154	$13.00	A	2,031,562	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 Preferred Stock^F1	—	Oct 31, 2016	C	924,970	D	—	—	Common Stock	924,970	0	D
Series B-2 Preferred Stock^F1	—	Oct 31, 2016	C	860,438	D	—	—	Common Stock	860,438	0	D

Explanation of responses

F1The Series B-1 Preferred Stock and Series B-2 Preferred Stock (the "Preferred Stock") has no expiration date and is convertible at any time at the holder's election. Upon the closing of the Issuer's initial public offering, the Preferred Stock automatically converted on a one-for-one basis for no additional consideration into common stock.
F2Represents a purchase from the underwriters in the Issuer's public offering.

Remarks

Novo A/S is a Danish limited liability company. The board of directors of Novo A/S (the "Novo Board"), which is currently comprised of Sten Scheibye, Goran Ando, Jeppe Christiansen, Steen Riisgaard and Per Wold-Olsen, has shared investment and voting control over the securities of the Issuer held by Novo A/S (the "Shares") and may exercise such control only with the support of a majority of the Novo Board. As such, no individual member of the Novo Board is deemed to hold any beneficial ownership or reportable pecuniary interest in the Shares.