0001209191-21-038766.txt : 20210607 0001209191-21-038766.hdr.sgml : 20210607 20210607193552 ACCESSION NUMBER: 0001209191-21-038766 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210603 FILED AS OF DATE: 20210607 DATE AS OF CHANGE: 20210607 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: VOGELBAUM MARTIN CENTRAL INDEX KEY: 0001237624 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-36279 FILM NUMBER: 211000902 MAIL ADDRESS: STREET 1: 675 ALMANOR AVE CITY: SUNNYVALE STATE: CA ZIP: 94085 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 2021-06-03 0 0001346830 Cara Therapeutics, Inc. CARA 0001237624 VOGELBAUM MARTIN C/O RHO VENTURES 152 WEST 57TH STREET, 23RD FLOOR NEW YORK NY 10019 1 0 0 0 Common Stock 2021-06-03 4 A 0 14400 0.00 A 28800 D Common Stock 2021-06-07 4 S 0 8640 13.05 D 20160 D Stock Option (Right to Buy) 13.06 2021-06-03 4 A 0 21600 0.00 A 2031-06-03 Common Stock 21600 21600 D Represents the number of shares underlying restricted stock units ("RSUs") granted to the Reporting Person pursuant to the Issuer's non-employee director compensation policy. Each RSU represents the contingent right to receive one share of common stock of the Issuer. The RSUs vest on the earlier of (i) June 3, 2022 and (ii) immediately prior to the Issuer's next annual meeting of stockholders following the grant date, in each case, subject to the Reporting Person's continued service as a director through such date. Represents the number of shares sold by the Reporting Person to satisfy the Reporting Person's tax obligations resulting from the settlement of vested RSUs on June 3, 2021. The sales were effected pursuant to a "sell-to-cover" arrangement adopted in accordance with Rule 10b5-1 on May 28, 2021. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.99 to $13.11, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4. This option was granted to the Reporting Person pursuant to the Issuer's non-employee director compensation policy. The shares underlying the option vest and become exercisable on the earlier of (i) June 3, 2022 and (ii) immediately prior to the Issuer's next annual meeting of stockholders following the grant date, in each case, subject to the Reporting Person's continued service as a director through such date. /s/Darren DeStefano, Attorney-in-Fact 2021-06-07