0001209191-20-025306.txt : 20200421 0001209191-20-025306.hdr.sgml : 20200421 20200421184745 ACCESSION NUMBER: 0001209191-20-025306 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200417 FILED AS OF DATE: 20200421 DATE AS OF CHANGE: 20200421 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CHALMERS DEREK T CENTRAL INDEX KEY: 0001166287 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36279 FILM NUMBER: 20806248 MAIL ADDRESS: STREET 1: C/O CARA THERAPEUTICS, INC. STREET 2: 1 PARROTT DRIVE CITY: SHELTON STATE: CT ZIP: 06484 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Cara Therapeutics, Inc. CENTRAL INDEX KEY: 0001346830 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 4 STAMFORD PLAZA STREET 2: 107 ELM STREET 9TH FLOOR CITY: STAMFORD STATE: CT ZIP: 06902 BUSINESS PHONE: 203-406-3700 MAIL ADDRESS: STREET 1: 4 STAMFORD PLAZA STREET 2: 107 ELM STREET 9TH FLOOR CITY: STAMFORD STATE: CT ZIP: 06902 FORMER COMPANY: FORMER CONFORMED NAME: Cara Therapeutics Inc DATE OF NAME CHANGE: 20051213 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2020-04-17 0 0001346830 Cara Therapeutics, Inc. CARA 0001166287 CHALMERS DEREK T C/O CARA THERAPEUTICS, INC. 4 STAMFORD PLAZA, 107 ELM ST, 9TH FLOOR STAMFORD CT 06902 1 1 0 0 President & CEO Common Stock 2020-04-17 4 A 0 20000 0.00 A 987769 D Common Stock 2020-04-21 4 S 0 6348 15.56 D 981421 D Represents the number of shares that vested under a performance-based restricted stock unit award (the "RSU") based on the Issuer's satisfaction of certain performance criteria of the award. In light of the performance-based vesting conditions of the award, such shares were not reportable under Section 16 until vesting was determined, which occurred on April 17, 2020. The vested shares represent the total number of remaining shares subject to the award. Each RSU represents the contingent right to receive one share of common stock of the Issuer. This sale was effected pursuant to a "sell to cover" arrangement adopted by the Reporting Person in accordance with Rule 10b5-1 on September 6, 2018 to satisfy the tax withholding obligations triggered by the vesting and of the RSUs reported herein as described in greater detail in footnote (1), and does not represent a discretionary trade by the Reporting Person. Represents the number of shares required to be sold by the Reporting Person to cover tax withholding as described in footnote (2). /s/Darren DeStefano, Attorney-in-Fact 2020-04-21