0001415889-23-000636.txt : 20230106 0001415889-23-000636.hdr.sgml : 20230106 20230106200016 ACCESSION NUMBER: 0001415889-23-000636 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230104 FILED AS OF DATE: 20230106 DATE AS OF CHANGE: 20230106 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Iwicki Mark T CENTRAL INDEX KEY: 0001415537 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38150 FILM NUMBER: 23516285 MAIL ADDRESS: STREET 1: 84 WATERFORD DRIVE CITY: MARLBOROUGH STATE: MA ZIP: 01752 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 form4-01062023_080102.xml X0306 4 2023-01-04 0001479419 Kala Pharmaceuticals, Inc. KALA 0001415537 Iwicki Mark T C/O KALA PHARMACEUTICALS, INC. 1167 MASSACHUSETTS AVENUE ARLINGTON MA 02476 true true false false CHIEF EXECUTIVE OFFICER Common Stock 2023-01-04 4 A 0 41700 0 A 46164 D Common Stock 2023-01-04 4 S 0 198 28.54 D 45966 D Grant of restricted stock units ("RSUs") under the Issuer's 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 employment with Issuer, the RSUs will vest as to 1/3 of the shares underlying the RSUs on January 4, 2024, as to 1/3 of the shares underlying the RSUs on January 4, 2025 and as to the final 1/3 of shares underlying the RSUs on January 4, 2026. Includes 42,714 unvested RSUs. This sale was made pursuant to a 10b5-1 trading plan to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's performance-based restricted stock units ("RSUs") granted on January 4, 2021. The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.52 to $28.71, inclusive. The Reporting Person undertakes to provide to Kala Pharmaceuticals, Inc., any security holder of Kala Pharmaceuticals, Inc., 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 to this Form 4. Includes 42,207 unvested RSUs. /s/ Eric Trachtenberg, Attorney-in-Fact 2023-01-06