Filing Details
- Accession Number:
- 0001104659-16-153349
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-10-31 16:51:59
- Reporting Period:
- 2016-10-31
- Filing Date:
- 2016-10-31
- Accepted Time:
- 2016-10-31 16:51:59
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1481512 | Ra Pharmaceuticals Inc. | RARX | () | DE |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1439101 | Morgenthaler Venture Partners Ix Lp | 3200 Alpine Road Portola Valley CA 94028 | No | No | Yes | No | |
1666860 | Morgenthaler Management Partners Ix, Llc | 3200 Alpine Road Portola Valley CA 94028 | No | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2016-10-31 | 63,019 | $0.07 | 80,161 | No | 4 | X | Direct | |
Common Stock | Disposition | 2016-10-31 | 340 | $13.00 | 79,821 | No | 4 | S | Direct | |
Common Stock | Acquisiton | 2016-10-31 | 1,392,130 | $0.00 | 1,471,951 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2016-10-31 | 523,438 | $0.00 | 1,995,389 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2016-10-31 | 486,919 | $0.00 | 2,482,308 | No | 4 | C | Direct | |
Common Stock | Acquisiton | 2016-10-31 | 263,538 | $13.00 | 2,745,846 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | X | Direct | |
No | 4 | S | Direct | |
No | 4 | C | Direct | |
No | 4 | C | Direct | |
No | 4 | C | Direct | |
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Warrants to Purchase Common Stock | Disposition | 2016-10-31 | 63,019 | $0.00 | 63,019 | $0.07 |
Common Stock | Series A Preferred Stock | Disposition | 2016-10-31 | 9,744,916 | $0.00 | 1,392,130 | $0.00 |
Common Stock | Series B-1 Preferred Stock | Disposition | 2016-10-31 | 3,664,071 | $0.00 | 523,438 | $0.00 |
Common Stock | Series B-2 Preferred Stock | Disposition | 2016-10-31 | 3,408,439 | $0.00 | 486,919 | $0.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
0 | 2022-04-01 | No | 4 | X | Direct | |
0 | No | 4 | C | Direct | ||
0 | No | 4 | C | Direct | ||
0 | No | 4 | C | Direct |
Footnotes
- The securities are held by Morgenthaler Venture Partners IX, L.P. ("MVP IX"). The general partner of MVP IX is Morgenthaler Management Partners IX, LLC ("MMP IX"). MMP IX may be deemed to indirectly beneficially own the securities directly held by MVP IX. MMP IX disclaims beneficial ownership of the securities held by MVP IX except to the extent of its pecuniary interest therein.
- The Warrants were automatically exercised immediately prior to the closing of the Issuer's initial public offering for such number of shares issuable pursuant to a cashless net exercise provision, resulting in the Issuer withholding 340 of the warrant shares to pay the aggregate exercise price, using the offering price in the Issuer's initial public offering of $13.00, and issuing to the reporting person the remaining 62,679 shares.
- Each share of the Series A Preferred Stock converted into Common Stock on a 1-for-7 basis automatically and without additional consideration upon the closing of the Issuer's initial public offering, and had no expiration date.
- Each share of the Series B-1 Preferred Stock converted into Common Stock on a 1-for-7 basis automatically and without additional consideration upon the closing of the Issuer's initial public offering, and had no expiration date.
- Each share of the Series B-2 Preferred Stock converted into Common Stock on a 1-for-7 basis automatically and without additional consideration upon the closing of the Issuer's initial public offering, and had no expiration date.