4//SEC Filing
Paull Robert Bradley 4
Accession 0001179110-17-010705
CIK 0001479419other
Filed
Jul 25, 8:00 PM ET
Accepted
Jul 26, 4:31 PM ET
Size
22.2 KB
Accession
0001179110-17-010705
Insider Transaction Report
Form 4
Paull Robert Bradley
Director10% Owner
Transactions
- Conversion
Common Stock
2017-07-25+1,204,937→ 1,204,937 total(indirect: See footnote.) - Conversion
Series Seed Preferred Stock
2017-07-25−3,677,373→ 0 total(indirect: See footnote.)→ Common Stock (706,060 underlying) - Conversion
Series A Preferred Stock
2017-07-25−1,666,666→ 0 total(indirect: See footnote.)→ Common Stock (320,002 underlying) - Conversion
Series B Preferred Stock
2017-07-25−900,146→ 0 total(indirect: See footnote.)→ Common Stock (172,829 underlying) - Conversion
Series C Preferred Stock
2017-07-25−31,494→ 0 total(indirect: See footnote.)→ Common Stock (6,046 underlying) - Conversion
Series B Preferred Stock Warrant (right to buy)
2017-07-25−84,130→ 0 total(indirect: See footnote.)→ Series B Preferred Stock (84,130 underlying) - Conversion
Common Stock Warrant (right to buy)
2017-07-25+16,152→ 16,152 total(indirect: See footnote.)Exercise: $7.50→ Common Stock (16,152 underlying)
Footnotes (9)
- [F1]The Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock converted into Common Stock on a 5.2083-for-one-basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series Seed Preferred Stock, Series A Preferred Stock, Series B Preferred Stock and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.
- [F2]Includes (a) 1,156,441 shares of Common Stock that are held by Lux Ventures II, L.P. and (b) 48,496 shares of Common Stock that are held by Lux Ventures II Sidecar, L.P. The Reporting Person is a venture partner at Lux Capital Management, and disclaims beneficial ownership of the shares held by each of Lux Ventures II, L.P. and Lux Ventures II Sidecar, L.P., except to the extent of his pecuniary interest therein.
- [F3]Includes (a) 3,529,364 shares of Seed Convertible Preferred Stock that were held by Lux Ventures II, L.P and (b) 148,009 shares of Seed Convertible Preferred Stock that were held by Lux Ventures II Sidecar, L.P. The Reporting Person is a venture partner at Lux Capital Management, and disclaims beneficial ownership of the shares held by each of Lux Ventures II, L.P. and Lux Ventures II Sidecar, L.P., except to the extent of his pecuniary interest therein.
- [F4]Includes (a) 1,599,586 shares of Series A Convertible Preferred Stock that were held by Lux Ventures II, L.P. and (b) 67,080 shares of Series A Convertible Preferred Stock that were held by Lux Ventures II Sidecar, L.P. The Reporting Person is a venture partner at Lux Capital Management, and disclaims beneficial ownership of the shares held by each of Lux Ventures II, L.P. and Lux Ventures II Sidecar, L.P., except to the extent of his pecuniary interest therein.
- [F5]Includes (a) 863,917 shares of Series B Convertible Preferred Stock that were held by Lux Ventures II, L.P. and (b) 36,229 shares of Series B Convertible Preferred Stock that were held by Lux Ventures II Sidecar, L.P. The Reporting Person is a venture partner at Lux Capital Management, and disclaims beneficial ownership of the shares held by each of Lux Ventures II, L.P. and Lux Ventures II Sidecar, L.P., except to the extent of his pecuniary interest therein.
- [F6]Includes (a) 30,226 shares of Series C Convertible Preferred Stock that were held by Lux Ventures II, L.P. and (b) 1,268 shares of Series C Convertible Preferred Stock that were held by Lux Ventures II Sidecar, L.P. The Reporting Person is a venture partner at Lux Capital Management, and disclaims beneficial ownership of the shares held by each of Lux Ventures II, L.P. and Lux Ventures II Sidecar, L.P., except to the extent of his pecuniary interest therein.
- [F7]The Series B Preferred Stock Warrants were exercisable for such shares of Preferred Stock at an exercise price of $1.44 per share. Upon the closing of the Issuer's initial public offering, the Warrants automatically became exercisable for 16,152 shares of Common Stock at an exercise price of $7.50 per share. The Warrants are exercisable at any time at the holder's election.
- [F8]Includes Series B Convertible Preferred Stock Warrants to purchase (a) 80,744 shares of Series B Convertible Preferred Stock that are held by Lux Ventures II, L.P. and (b) 3,386 shares of Series B Convertible Preferred Stock that are held by Lux Ventures II Sidecar, L.P. The Reporting Person is a venture partner at Lux Capital Management, and disclaims beneficial ownership of the shares held by each of Lux Ventures II, L.P. and Lux Ventures II Sidecar, L.P., except to the extent of his pecuniary interest therein.
- [F9]Includes Common Stock Warrants to purchase (a) 15,502 shares of Series Common Stock that are held by Lux Ventures II, L.P. and (b) 650 shares of Common Stock that are held by Lux Ventures II Sidecar, L.P. The Reporting Person is a venture partner at Lux Capital Management, and disclaims beneficial ownership of the shares held by each of Lux Ventures II, L.P. and Lux Ventures II Sidecar, L.P., except to the extent of his pecuniary interest therein.
Documents
Issuer
Kala Pharmaceuticals, Inc.
CIK 0001479419
Entity typeother
Related Parties
1- filerCIK 0001711254
Filing Metadata
- Form type
- 4
- Filed
- Jul 25, 8:00 PM ET
- Accepted
- Jul 26, 4:31 PM ET
- Size
- 22.2 KB