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
  1. 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").
  2. Following the reported transaction, the Fund held 9,186,904 shares and the Account held 1,687,709 shares.
  3. 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).
  4. 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.