0001415889-23-010291.txt : 20230623 0001415889-23-010291.hdr.sgml : 20230623 20230623200031 ACCESSION NUMBER: 0001415889-23-010291 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230622 FILED AS OF DATE: 20230623 DATE AS OF CHANGE: 20230623 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Rosen Howard B CENTRAL INDEX KEY: 0001307068 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38150 FILM NUMBER: 231039211 MAIL ADDRESS: STREET 1: C/O ACELRX PHARMACEUTICALS, INC. STREET 2: 351 GALVESTON DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Kala Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0001479419 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 270604595 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1167 MASSACHUSETTS AVENUE CITY: ARLINGTON STATE: MA ZIP: 02476 BUSINESS PHONE: 781-996-5252 MAIL ADDRESS: STREET 1: 1167 MASSACHUSETTS AVENUE CITY: ARLINGTON STATE: MA ZIP: 02476 4 1 form4-06232023_080624.xml X0407 4 2023-06-22 0001479419 Kala Pharmaceuticals, Inc. KALA 0001307068 Rosen Howard B C/O KALA PHARMACEUTICALS, INC. 1167 MASSACHUSETTS AVENUE ARLINGTON MA 02476 true false false false 0 Common Stock 2023-06-22 4 A 0 7988 0 A 11387 D Common Stock 2023-06-22 4 A 0 1100 0 A 12487 D Common Stock 165 I See Footnote Stock Option (right to buy) 14.56 2023-06-22 4 A 0 10651 0 A 2033-06-21 Common Stock 10651 10651 D Stock Option (right to buy) 14.56 2023-06-22 4 A 0 2500 0 A 2033-06-21 Common Stock 2500 2500 D Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 1/3 of the shares underlying the RSUs on June 22, 2024, as to 1/3 of the shares underlying the RSUs on June 22, 2025 and as to the final 1/3 of shares underlying the RSUs on June 22, 2026. Includes 11,290 unvested RSUs. Grant of RSUs under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 100% of the shares underlying the grant on the earlier of (i) June 22, 2024 or (ii) the date of the first annual meeting following June 22, 2023. Includes 12,390 unvested RSUs. These shares are owned directly by the Rosen/Doherty Revocable Trust Dated 6/11/01 (the "Trust"), and indirectly by Mr. Rosen as co-trustee of the Trust. This option was granted on June 22, 2023 and vests over four years beginning on the vesting commencement date of June 22, 2023, with 25% of the shares underlying the option vesting on June 22, 2024, and an additional 1/48th the shares underlying the option vesting at the end of each successive one-month period thereafter. This option was granted on June 22, 2023 and vests as to 100% of the shares underlying the grant on the earlier of (i) June 22, 2024 or (ii) the date of the first annual meeting following June 22, 2023. /s/ Mary Reumuth, Attorney-in-Fact 2023-06-23