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