0001209191-17-056766.txt : 20171012
0001209191-17-056766.hdr.sgml : 20171012
20171012172119
ACCESSION NUMBER: 0001209191-17-056766
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20171010
FILED AS OF DATE: 20171012
DATE AS OF CHANGE: 20171012
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Novo Holdings A/S
CENTRAL INDEX KEY: 0001388325
STATE OF INCORPORATION: G7
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-36830
FILM NUMBER: 171135103
BUSINESS ADDRESS:
STREET 1: TUBORG HAVNEVEJ 19
CITY: HELLERUP
STATE: G7
ZIP: 2900
BUSINESS PHONE: 45 8824 8824
MAIL ADDRESS:
STREET 1: TUBORG HAVNEVEJ 19
CITY: HELLERUP
STATE: G7
ZIP: 2900
FORMER NAME:
FORMER CONFORMED NAME: Novo A/S
DATE OF NAME CHANGE: 20070130
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: KalVista Pharmaceuticals, Inc.
CENTRAL INDEX KEY: 0001348911
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 200915291
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0430
BUSINESS ADDRESS:
STREET 1: ONE KENDALL SQUARE
STREET 2: BUILDING 200, STE. 2203
CITY: CAMBRIDGE
STATE: MA
ZIP: 02139
BUSINESS PHONE: (857) 999-0075
MAIL ADDRESS:
STREET 1: ONE KENDALL SQUARE
STREET 2: BUILDING 200, STE. 2203
CITY: CAMBRIDGE
STATE: MA
ZIP: 02139
FORMER COMPANY:
FORMER CONFORMED NAME: Carbylan Therapeutics, Inc.
DATE OF NAME CHANGE: 20140916
FORMER COMPANY:
FORMER CONFORMED NAME: Carbylan Biosurgery, Inc
DATE OF NAME CHANGE: 20130102
FORMER COMPANY:
FORMER CONFORMED NAME: Carbylan Biosurgery Inc
DATE OF NAME CHANGE: 20060105
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-10-10
1
0001348911
KalVista Pharmaceuticals, Inc.
KALV
0001388325
Novo Holdings A/S
TUBORG HAVNEVEJ 19
HELLERUP
G7
2900
DENMARK
0
0
1
0
Common Stock
2017-10-10
4
S
0
413356
10.3567
D
2311927
D
Common Stock
2017-10-10
4
S
0
190981
11.176
D
2120946
D
Common Stock
2017-10-10
4
S
0
165199
12.3246
D
1955747
D
Common Stock
2017-10-10
4
S
0
61044
13.3892
D
1894703
D
Common Stock
2017-10-10
4
S
0
57580
14.0667
D
1837123
D
Common Stock
2017-10-10
4
S
0
75123
15.36
D
1762000
D
Common Stock
2017-10-11
4
S
0
35519
10.2132
D
1726481
D
Common Stock
2017-10-12
4
S
0
481
10.02
D
1726000
D
Common Stock
2017-10-12
4
S
0
1726000
8.50
D
0
D
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $10.00 to $10.90, 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 ranges set forth in this footnote.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $11.00 to $11.85, 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 ranges set forth in this footnote.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $12.00 to $12.77, 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 ranges set forth in this footnote.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $13.00 to $13.88, 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 ranges set forth in this footnote.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $14.00 to $14.90, 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 ranges set forth in this footnote.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $15.00 to $15.75, 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 ranges set forth in this footnote.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $10.00 to $10.36, 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 ranges set forth in this footnote.
Novo Holdings A/S is a Danish limited liability company. The board of directors of Novo Holdings A/S (the "Novo Board"), which is currently comprised of Sten Scheibye, Goran Ando, Jeppe Christiansen, Steen Riisgaard, Lars Rebien Sorensen, Per Wold-Olsen, Jean-Luc Butel and Francis Cuss, has shared investment and voting control over the securities of the Issuer held by Novo Holdings A/S (the "Shares") and may exercise such control only with the support of a majority of the Novo Board. As such, no individual member of the Novo Board is deemed to hold any beneficial ownership or reportable pecuniary interest in the Shares.
/s/ Peter Haahr, Chief Financial Officer
2017-10-12