Home > Insider Trading > Filing (0001104659-16-153345)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1481512	Ra Pharmaceuticals Inc.	RARX	Pharmaceutical Preparations (2834)	V8

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1114448	Ag Novartis	Lichtstrasse 35 Basel V8 CH 4056		No	No	Yes	No
1297709	Ltd Bioventures Novartis	C/O Novartis International Ag Wsj-200.220 Ch-4002 Basel V8 0000000000		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
Common Stock	Acquisiton	2016-10-31	62,914	$0.07	62,914	No	4	X	Direct
Common Stock	Disposition	2016-10-31	339	$13.00	62,575	No	4	S	Direct
Common Stock	Acquisiton	2016-10-31	1,389,797	$0.00	1,452,372	No	4	C	Direct
Common Stock	Acquisiton	2016-10-31	522,561	$0.00	1,974,933	No	4	C	Direct
Common Stock	Acquisiton	2016-10-31	486,104	$0.00	2,461,037	No	4	C	Direct
Common Stock	Acquisiton	2016-10-31	84,615	$13.00	2,545,652	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	X	Direct
No	4	S	Direct
No	4	C	Direct
No	4	C	Direct
No	4	C	Direct
No	4	P	Direct

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	62,914	$0.00	62,914	$0.07
Common Stock	Series A Preferred Stock	Disposition	2016-10-31	9,728,589	$0.00	1,389,797	$0.00
Common Stock	Series B-1 Preferred Stock	Disposition	2016-10-31	3,657,932	$0.00	522,561	$0.00
Common Stock	Series B-2 Preferred Stock	Disposition	2016-10-31	3,402,729	$0.00	486,104	$0.00

Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
2022-04-01	No	4	X	Direct
	No	4	C	Direct
	No	4	C	Direct
	No	4	C	Direct

Footnotes

The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG.
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 339 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 62,575 shares, after deducting the aggregate exercise price.
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.
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.
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.