Filing Details

Accession Number:
0001209191-16-147489
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-10-31 16:51:28
Reporting Period:
2016-10-31
Filing Date:
2016-10-31
Accepted Time:
2016-10-31 16:51:28
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1481512 Ra Pharmaceuticals Inc. RARX () 4
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1237289 D Scott Sandell 1954 Greenspring Drive
Suite 600
Timonium MD 21093
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 80,658 $0.07 80,658 No 4 X Indirect See Note 2
Common Stock Disposition 2016-10-31 435 $13.00 80,223 No 4 S Indirect See Note 2
Common Stock Acquisiton 2016-10-31 1,778,227 $0.00 1,858,450 No 4 C Indirect See Note 2
Common Stock Acquisiton 2016-10-31 669,951 $0.00 2,528,401 No 4 C Indirect See Note 2
Common Stock Acquisiton 2016-10-31 623,210 $0.00 3,151,611 No 4 C Indirect See Note 2
Common Stock Acquisiton 2016-10-31 338,462 $13.00 3,490,073 No 4 P Indirect See Note 2
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 X Indirect See Note 2
No 4 S Indirect See Note 2
No 4 C Indirect See Note 2
No 4 C Indirect See Note 2
No 4 C Indirect See Note 2
No 4 P Indirect See Note 2
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 80,658 $0.00 80,658 $0.07
Common Stock Series A Preferred Stock Disposition 2016-10-31 12,447,605 $0.00 1,778,227 $0.00
Common Stock Series B-1 Preferred Stock Disposition 2016-10-31 4,689,657 $0.00 669,951 $0.00
Common Stock Series B-2 Preferred Stock Disposition 2016-10-31 4,362,472 $0.00 623,210 $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 Indirect
0 No 4 C Indirect
0 No 4 C Indirect
0 No 4 C Indirect
Footnotes
  1. 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.
  2. 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.
  3. 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.
  4. 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.
  5. 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.