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