Key facts
- This page summarizes Rajeev M. Shah's Form 4 filing for Kala Pharmaceuticals, Inc. (KALA).
- 1 reported transaction and 0 derivative rows are listed below.
- Accepted by SEC: 21 Jun 2021, 17:31.
Rajeev M. Shah - 17 Jun 2021 Form 4 Insider Report for Kala Pharmaceuticals, Inc. (KALA)
- Reporting relationship
- Director
- Issuer ticker
- KALA
- Reported as of
- 17 Jun 2021
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 21 Jun 2021, 17:31:13 UTC
- Prior SEC filing
- 21 Jun 2021
- Next SEC filing
- 22 Jun 2021
- Source filing
- View source filing
- Reporting owner signature
- /s/ Mary Reumuth, Attorney-in-Fact
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Rajeev M. Shah filed Form 4 for Kala Pharmaceuticals, Inc. (KALA) on 21 Jun 2021.
Change
- Previous filing in this sequence was filed on 21 Jun 2021.
- Current net transaction value: $0.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
KALA
transaction
Common Stock
Award
- Transaction value
- $0
- Shares
- +20,000
- Change %
- Price
- $0.000000
- Shares after
- 20,000
- Date
- 17 Jun 2021
- Ownership
- Direct
- Footnotes
- F1, F2
KALA
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 10,894,613
- Date
- 17 Jun 2021
- Ownership
- See Footnote
- Footnotes
- F3, F4, F5
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 5 footnotes
Footnote F1
Grant of restricted stock units ("RSUs") under the Issuer's 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service with the Issuer, the RSUs will vest as to 100% of the shares underlying the RSUs on the earlier of (i) June 17, 2022 or (ii) the date of the first annual meeting following June 17, 2021.
Footnote F2
Includes 20,000 unvested RSUs.
Footnote F3
Includes 20,000 shares of the Issuer's common stock that the reporting person turned over to the adviser (as defined below) following the settlement of RSUs.
Footnote F4
Under the reporting person's arrangement with RA Capital Management, L.P. (the "adviser"), the Reporting Person holds the RSUs for the benefit of the RA Capital Healthcare Fund, L.P. (the "Fund"). The reporting person is obligated to turn over to the adviser any stock received from the settlement of the RSUs, which will offset advisory fees owed by the Fund to the Adviser. The reporting person therefore disclaims beneficial ownership of the RSUs and underlying common stock.
Footnote F5
The reporting person 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.