0001104659-20-078330.txt : 20200630 0001104659-20-078330.hdr.sgml : 20200630 20200629215716 ACCESSION NUMBER: 0001104659-20-078330 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200625 FILED AS OF DATE: 20200629 DATE AS OF CHANGE: 20200629 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Shah Rajeev M. CENTRAL INDEX KEY: 0001619841 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38150 FILM NUMBER: 201000242 MAIL ADDRESS: STREET 1: 200 BERKELEY STREET STREET 2: 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 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: 490 ARSENAL WAY STREET 2: SUITE 120 CITY: WATERTOWN STATE: MA ZIP: 02472 BUSINESS PHONE: 781-996-5252 MAIL ADDRESS: STREET 1: 490 ARSENAL WAY STREET 2: SUITE 120 CITY: WATERTOWN STATE: MA ZIP: 02472 4 1 a4.xml 4 X0306 4 2020-06-25 0 0001479419 Kala Pharmaceuticals, Inc. KALA 0001619841 Shah Rajeev M. C/O RA CAPITAL MANAGEMENT, L.P. 200 BERKELEY STREET, 18TH FLOOR BOSTON MA 02116 1 0 1 0 Common Stock 2020-06-25 4 A 0 20000 0 A 20000 D Common Stock 10874613 I See Footnotes 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 comman stock. Subject to the reporting person's continued service with the Issuer, the RSUs will vest as to 100% of the shares underlying the RSUs on the ealier of (i) june 25, 2021 or (ii) the date of the first annual meeting following june 25, 2020. Includes 20,000 unvested RSUs. Under the reporting person's arrangement with RA Capital Management, L.P. (the "adviser"), the Reporting Person holds the RSUs for the benefit of the RA Capital Healthcare Fund, L.P. (the "Fund") and a separately managed account (the "Account"). The reportind person is obligated to turn over to the adviser any stock received from the settlement of the RSUs, which will offset advisory fees owned by the Fund and the Account to the Adviser. The reporting person therefore disclaims beneficial ownershipof the RSUs and underlying common stock. Mr. Shah has no pecuniary interest in the reported securities held by the Account and therefore disclaims beneficial ownership of those securities for purposes of rule 16a-1(a)(2). Mr. Shah disclaims beneficial ownership of the reported securities held by the Fund for purposes of Rule 16a-1(a)(2) except to the extent of his pecuniary interest therein. /s/ Mary Reumuth, Attorney-in-Fact 2020-06-29