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