AI assistant
KALA BIO, Inc. — Director's Dealing 2017
Aug 15, 2017
35091_dirs_2017-08-15_48b6ddbc-dd0d-477e-81c8-5900602dec79.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: Kala Pharmaceuticals, Inc. (KALA)
CIK: 0001479419
Period of Report: 2017-08-11
Reporting Person: Brazzell Romulus K (Chief Medical Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-08-11 | Common Stock | M | 36094 | $.68 | Acquired | 36094 | Direct |
| 2017-08-11 | Common Stock | M | 16168 | $.68 | Acquired | 52262 | Direct |
| 2017-08-11 | Common Stock | M | 44313 | $2.30 | Acquired | 96575 | Direct |
| 2017-08-11 | Common Stock | M | 12150 | $3.34 | Acquired | 108725 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-08-11 | Stock Option (right to buy) | $.68 | M | 36094 | Disposed | 2023-05-10 | Common Stock (36094) | Direct |
| 2017-08-11 | Stock Option (right to buy) | $.68 | M | 16168 | Disposed | 2023-05-10 | Common Stock (16168) | Direct |
| 2017-08-11 | Stock Option (right to buy) | $2.30 | M | 44313 | Disposed | 2024-10-02 | Common Stock (44313) | Direct |
| 2017-08-11 | Stock Option (right to buy) | $3.34 | M | 12150 | Disposed | 2026-06-17 | Common Stock (12150) | Direct |
Footnotes
F1: The option with respect to these shares is fully vested.
F2: This option was granted on May 10, 2013 and vests over four years, with 25% of shares underlying the option vesting 12 months after the date the Issuer submits an investigational new drug application for its loteprednol etabonate program and an additional 2.0833% vesting at the end of each successive one-month period thereafter.
F3: This option was granted on October 2, 2014 and vests over four years, with 25% of the shares underlying the option vested on September 25, 2015 and an additional 2.0833% vesting at the end of each successive one-month period thereafter.
F4: This option was granted on June 17, 2016 and vests over four years, with 25% of the shares underlying the option vested on June 17, 2017 and an additional 2.0833% vesting at the end of each successive one-month period thereafter.