4//SEC Filing
Ra Pharmaceuticals, Inc. 4
Accession 0001209191-16-147491
CIK 0001481512operating
Filed
Oct 30, 8:00 PM ET
Accepted
Oct 31, 4:52 PM ET
Size
24.2 KB
Accession
0001209191-16-147491
Insider Transaction Report
Form 4
Weller Harry R
10% Owner
Transactions
- Conversion
Common Stock
2016-10-31+623,210→ 3,151,611 total(indirect: See Note 2) - Purchase
Common Stock
2016-10-31$13.00/sh+338,462$4,400,006→ 3,490,073 total(indirect: See Note 2) - Exercise of In-Money
Warrants to Purchase Common Stock
2016-10-31−80,658→ 0 total(indirect: See Note 2)Exercise: $0.07Exp: 2022-04-01→ Common Stock (80,658 underlying) - Exercise of In-Money
Common Stock
2016-10-31$0.07/sh+80,658$5,646→ 80,658 total(indirect: See Note 2) - Sale
Common Stock
2016-10-31$13.00/sh−435$5,655→ 80,223 total(indirect: See Note 2) - Conversion
Common Stock
2016-10-31+1,778,227→ 1,858,450 total(indirect: See Note 2) - Conversion
Common Stock
2016-10-31+669,951→ 2,528,401 total(indirect: See Note 2) - Conversion
Series A Preferred Stock
2016-10-31−12,447,605→ 0 total(indirect: See Note 2)→ Common Stock (1,778,227 underlying) - Conversion
Series B-1 Preferred Stock
2016-10-31−4,689,657→ 0 total(indirect: See Note 2)→ Common Stock (669,951 underlying) - Conversion
Series B-2 Preferred Stock
2016-10-31−4,362,472→ 0 total(indirect: See Note 2)→ Common Stock (623,210 underlying)
Footnotes (5)
- [F1]The Warrants 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 435 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 80,223 shares, after deducting the aggregate exercise price.
- [F2]The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest.
- [F3]Each share of the Series A Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date.
- [F4]Each share of the Series B-1 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date.
- [F5]Each share of the Series B-2 Preferred Stock is convertible into Common Stock on a 1-for-7 basis automatically upon the closing of the Issuer's initial public offering, and has no expiration date.
Documents
Issuer
Ra Pharmaceuticals, Inc.
CIK 0001481512
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001481512
Filing Metadata
- Form type
- 4
- Filed
- Oct 30, 8:00 PM ET
- Accepted
- Oct 31, 4:52 PM ET
- Size
- 24.2 KB