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KALA BIO, Inc. — Director's Dealing 2017
Jul 19, 2017
35091_dirs_2017-07-19_3199ad0f-b204-45c5-87e3-2c99fe313034.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: Kala Pharmaceuticals, Inc. (KALA)
CIK: 0001479419
Period of Report: 2017-07-19
Reporting Person: McDermott Charles Douglas (President and Chief Bus. Off., 10% Owner)
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy) | $0.68 | 2023-06-14 | Common Stock (11784) | Direct | |
| Stock Option (right to buy) | $0.68 | 2023-06-14 | Common Stock (24000) | Direct | |
| Stock Option (right to buy) | $0.68 | 2023-06-14 | Common Stock (35352) | Direct | |
| Stock Option (right to buy) | $2.30 | 2024-10-02 | Common Stock (52049) | Direct | |
| Stock Option (right to buy) | $2.30 | 2018-06-03 | Common Stock (62056) | Direct | |
| Stock Option (right to buy) | $5.21 | 2025-10-02 | Common Stock (24488) | Direct | |
| Stock Option (right to buy) | $3.34 | 2026-06-17 | Common Stock (84538) | Direct |
Footnotes
F1: This option was granted on June 14, 2013 and vests over four years, with 25% of the shares underlying the option vested on December 20, 2014 and 2.0833% of the shares vesting at the end of each successive one-month period thereafter.
F2: This option was granted on June 14, 2013, and vests as to 100% of the shares underlying the option immediately prior to the closing of a change of control with aggregate consideration of greater than $300,000,000, provided that such closing occurs on or prior to June 3, 2018, and the option will expire if a change of control does not occur prior to June 3, 2018.
F3: This option is fully vested.
F4: This option was granted on October 2, 2014 and vests over four years, with 25% of the shares underlying the option vested on February 4, 2015, and an additional 2.0833% of the shares underlying the option vesting at the end of each successive one-month period thereafter.
F5: This option is fully vested.
F6: This option was granted on October 2, 2015 and vests over four years, with 25% of the shares underlying the option vested on October 2, 2016, and an additional 2.0833% of the shares underlying the option vesting at the end of each successive one-month period thereafter.
F7: 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% of the shares underlying the option vesting at the end of each successive one-month period thereafter.