Filing Details
- Accession Number:
- 0001104659-20-033392
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2020-03-13 18:47:07
- Reporting Period:
- 2020-03-13
- Accepted Time:
- 2020-03-13 18:47:07
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1479419 | Kala Pharmaceuticals Inc. | KALA | Pharmaceutical Preparations (2834) | 270604595 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1619841 | M. Rajeev Shah | C/O Ra Capital Management, L.p. 200 Berkeley Street, 18Th Floor Boston MA 02116 | Yes | 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 | 2020-03-13 | 6,337,135 | $7.89 | 10,874,613 | No | 4 | P | Indirect | See footnotes |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | See footnotes |
Footnotes
- Includes (a) 5,459,503 shares of Common Stock that are held by RA Capital Healthcare Fund, L.P.(the "Fund") and (b) 877,632 shares of Common Stock that are held in an account owned by a separately managed account (the "Account").
- Following the reported transaction, the Fund held 9,186,904 shares and the Account held 1,687,709 shares.
- RA Capital Management, L.P. (the "Adviser") is the investment manager for the Fund and the Account. The general partner of the Adviser is RA Capital Management GP, LLC (the "Adviser GP"), of which Dr. Peter Kolchinsky and Mr. Rajeev Shah are the managing members. The Adviser, the Adviser GP, Dr. Kolchinsky, and Mr. Shah may be deemed indirect beneficial owners of the reported securities for purposes of Section 13(d) of the Securities Exchange Act of 1934 (the "Act"). They disclaim beneficial ownership of any of the reported securities for the purpose of determining whether they are subject to Section 16 of the Act, however, in reliance on Rule 16a-1(a)(1)(v) and (vii).
- Mr. Shah has no pecuniary interest in the reported securities held by the Account and therefore disclaims beneficial ownership of those securities for purposes of Rule 16a-1(a)(2). Mr. Shah disclaims beneficial ownership of the reported securities held by the Fund for purposes of Rule 16a-1(a)(2) except to the extent of his pecuniary interest therein.