Filing Details
- Accession Number:
- 0001104659-16-153449
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-10-31 20:46:44
- Reporting Period:
- 2016-10-31
- Filing Date:
- 2016-10-31
- Accepted Time:
- 2016-10-31 20:46:44
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1481512 | Ra Pharmaceuticals Inc. | RARX | Pharmaceutical Preparations (2834) | 262908274 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1619841 | M. Rajeev Shah | C/O Ra Capital Management, Llc 20 Park Plaza, Suite 1200 Boston MA 02116 | Yes | No | No | 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 | 616,646 | $0.00 | 616,646 | No | 4 | C | Indirect | See footnotes |
| Common Stock | Acquisiton | 2016-10-31 | 573,624 | $0.00 | 1,190,270 | No | 4 | C | Indirect | See footnote |
| Common Stock | Acquisiton | 2016-10-31 | 161,538 | $13.00 | 1,351,808 | No | 4 | P | Indirect | See footnote |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Indirect | See footnotes |
| No | 4 | C | Indirect | See footnote |
| No | 4 | P | Indirect | See footnote |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Series B-1 Preferred Stock | Disposition | 2016-10-31 | 4,316,531 | $0.00 | 616,646 | $0.00 |
| Common Stock | Series B-2 Preferred Stock | Disposition | 2016-10-31 | 4,015,378 | $0.00 | 573,624 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | C | Indirect | ||
| 0 | No | 4 | C | Indirect |
Footnotes
- These securities include 507,500 shares held by RA Capital Healthcare Fund, L.P. (the "Fund") and 109,146 shares held in an account owned by Blackwell Partners LLC-Series A (the "Blackwell Account").
- RA Capital Management, LLC (the "Adviser") is the general partner of the Fund and the investment adviser of the Blackwell Account. Peter Kolchinsky is the sole manager of the Adviser, and Mr. Shah is a managing director of the Adviser. Mr. Shah has no pecuniary interest in the reported securities held in the Blackwell Account and therefore disclaims beneficial ownership of those securities. Mr. Shah disclaims beneficial ownership of the reported securities held by the Fund except to the extent of his pecuniary interest therein.
- These securities include 472,093 shares held by the Fund and 101,531 shares held in the Blackwell Account.
- Each share of the Series B-1 Preferred Stock converted into Common Stock on a 1-for-7 basis automatically 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 upon the closing of the Issuer's initial public offering, and had no expiration date.
- These securities include 132,357 shares held by the Fund and 29,181 shares held in the Blackwell Account.
- These securities include 1,111,950 shares held by the Fund and 239,858 shares held in the Blackwell Account.
- These securities include 3,552,506 shares held by the Fund and 764,025 shares held in the Blackwell Account.
- These securities include 3,304,656 shares held by the Fund and 710,722 shares held in the Blackwell Account.
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