Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| KALA BIO, Inc.KALA · Entity 7964 | CHIEF SCIENTIFIC OFFICER | October 26, 2021 | October 29, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
KALA BIO, Inc.
Report date October 26, 2021 · Filed October 29, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 204,515 |
Last balance in matching sequence
After 2021-10-27 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2021-10-26 · Sale · Disposed 9,449 · Balance 225,566 F1: 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 June 25, 2020. F2: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.79 to $1.89, 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. F3: Includes 61,166 unvested RSUs. Row 2 · 2021-10-27 · Sale · Disposed 21,051 · Balance 204,515 F4: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F5: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.80 to $1.84, 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. F3: Includes 61,166 unvested RSUs. |
Filing footnotes · ownership attribution and instrument terms
F1: 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 June 25, 2020.
F2: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.79 to $1.89, 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.
F3: Includes 61,166 unvested RSUs.
F4: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.
F5: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.80 to $1.84, 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 27, 2021 Filed Oct 29, 2021 00:06 UTC | KALA BIO, Inc. KALA · Entity 7964 | SaleCommon Stock | 21,051 | $1.82 | $38,312.82 |
DisclosureSEC source: 0001415889-21-005014 · form4-10282021_051044.xml · nonDerivative · entry 2 Chen Hongming · CIK 0001710697 · CHIEF SCIENTIFIC OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,515 F4 · shares: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F5 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.80 to $1.84, 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. F3 · balance_after: Includes 61,166 unvested RSUs. Read SEC document |
| October 26, 2021 Filed Oct 29, 2021 00:06 UTC | KALA BIO, Inc. KALA · Entity 7964 | SaleCommon Stock | 9,449 | $1.80 | $17,008.20 |
DisclosureSEC source: 0001415889-21-005014 · form4-10282021_051044.xml · nonDerivative · entry 1 Chen Hongming · CIK 0001710697 · CHIEF SCIENTIFIC OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,566 F1 · shares: 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 June 25, 2020. F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.79 to $1.89, 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. F3 · balance_after: Includes 61,166 unvested RSUs. Read SEC document |
| June 29, 2021 Filed Jun 30, 2021 21:30 UTC | KALA BIO, Inc. KALA · Entity 7964 | SaleCommon Stock | 5,548 | $5.56 | $30,846.88 |
DisclosureSEC source: 0001415889-21-003271 · form4-06302021_050601.xml · nonDerivative · entry 1 Chen Hongming · CIK 0001710697 · CHIEF SCIENTIFIC OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 235,015 F1 · shares: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.53 to $5.60, 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. F3 · balance_after: Includes 91,666 unvested RSUs. Read SEC document |
| June 28, 2021 Filed Jun 29, 2021 21:26 UTC | KALA BIO, Inc. KALA · Entity 7964 | SaleCommon Stock | 2,452 | $5.77 | $14,148.04 |
DisclosureSEC source: 0001415889-21-003261 · form4-06292021_050603.xml · nonDerivative · entry 1 Chen Hongming · CIK 0001710697 · CHIEF SCIENTIFIC OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,563 F1 · shares: 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 restricted stock units granted on June 25, 2020. F2 · balance_after: Includes 91,666 unvested RSUs. Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 22:01 UTC | KALA BIO, Inc. KALA · Entity 7964 | Exercise / conversionStock Option (right to buy · Derivative | 9,500 | $0.00 Strike: $2.30 | $0.00 |
DisclosureSEC source: 0001179110-21-002694 · edgar.xml · derivative · entry 2 Chen Hongming · CIK 0001710697 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,736 Underlying: Common Stock · 9,500 shares Expires 2024-10-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The option was fully vested. Read SEC document |
| March 01, 2021 Filed Mar 3, 2021 22:01 UTC | KALA BIO, Inc. KALA · Entity 7964 | Exercise / conversionCommon Stock | 9,500 | $2.30 | $21,850.00 |
DisclosureSEC source: 0001179110-21-002694 · edgar.xml · nonDerivative · entry 1 Chen Hongming · CIK 0001710697 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243,015 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 99,666 unvested RSUs. Read SEC document |
| February 25, 2021 Filed Feb 26, 2021 22:35 UTC | KALA BIO, Inc. KALA · Entity 7964 | Exercise / conversionStock Option (right to buy) · Derivative | 47,000 | $0.00 Strike: $2.30 | $0.00 |
DisclosureSEC source: 0001179110-21-002366 · edgar.xml · derivative · entry 2 Chen Hongming · CIK 0001710697 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,236 Underlying: Common Stock · 47,000 shares Expires 2024-10-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The option was fully vested. Read SEC document |
| February 25, 2021 Filed Feb 26, 2021 22:35 UTC | KALA BIO, Inc. KALA · Entity 7964 | Exercise / conversionCommon Stock | 47,000 | $2.30 | $108,100.00 |
DisclosureSEC source: 0001179110-21-002366 · edgar.xml · nonDerivative · entry 1 Chen Hongming · CIK 0001710697 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 233,515 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: Includes 99,666 unvested RSUs. Read SEC document |
| January 04, 2021 Filed Jan 5, 2021 21:57 UTC | KALA BIO, Inc. KALA · Entity 7964 | GrantStock Option (right to buy) · Derivative | 90,667 | $0.00 Strike: $6.86 | $0.00 |
DisclosureSEC source: 0001179110-21-000182 · edgar.xml · derivative · entry 2 Chen Hongming · CIK 0001710697 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,667 Underlying: Common Stock · 90,667 shares Expires 2031-01-03 F3 · derivative.exercise_date: This option was granted on January 4, 2021 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter. Read SEC document |
| January 04, 2021 Filed Jan 5, 2021 21:57 UTC | KALA BIO, Inc. KALA · Entity 7964 | GrantCommon Stock | 22,666 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-21-000182 · edgar.xml · nonDerivative · entry 1 Chen Hongming · CIK 0001710697 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,515 F1 · security: 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, 2022, as to 1/3 of the shares underlying the RSUs on January 4, 2023 and as to the final 1/3 of shares underlying the RSUs on January 4, 2024. F2 · balance_after: Includes 99,666 unvested RSUs. Read SEC document |
| October 26, 2020 Filed Oct 29, 2020 00:30 UTC | KALA BIO, Inc. KALA · Entity 7964 | GrantCommon Stock | 61,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-20-010709 · edgar.xml · nonDerivative · entry 1 Chen Hongming · CIK 0001710697 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,849 F1 · security: On June 25, 2020, the reporting person was granted performance-based restricted stock unit ("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 the Issuer, the RSUs will vest as to 50% of the shares underlying the RSUs on October 26, 2021, the first anniversary of the achievement of the performance condition, and as to the remaining 50% of the shares underlying the RSUs on October 26, 2022, the second anniversary of the achievement of the performance condition. F2 · balance_after: Includes 77,000 unvested RSUs. Read SEC document |
| June 25, 2020 Filed Jun 30, 2020 01:31 UTC | KALA BIO, Inc. KALA · Entity 7964 | GrantComman Stock | 16,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-20-078279 · a4.xml · nonDerivative · entry 1 Chen Hongming · CIK 0001710697 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,849 F1 · security: 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 the Issuer, the RSUs will vest as to 50% of the shares underlying the RSUs on June 25, 2021 and the remaining 50% of the shares underlying the RSUs on June 25, 2022. F2 · balance_after: Includes 16,000 unvested RSUs. Read SEC document |
| March 30, 2020 Filed Apr 1, 2020 20:43 UTC | KALA BIO, Inc. KALA · Entity 7964 | Exercise / conversionStock Option (right to buy) · Derivative | 31,000 | $0.00 Strike: $2.30 | $0.00 |
DisclosureSEC source: 0001179110-20-004335 · edgar.xml · derivative · entry 2 Chen Hongming · CIK 0001710697 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,236 Underlying: Common Stock · 31,000 shares Expires 2024-10-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The option became fully vested on July 21, 2018. Read SEC document |
| March 30, 2020 Filed Apr 1, 2020 20:43 UTC | KALA BIO, Inc. KALA · Entity 7964 | Exercise / conversionCommon Stock | 31,000 | $2.30 | $71,300.00 |
DisclosureSEC source: 0001179110-20-004335 · edgar.xml · nonDerivative · entry 1 Chen Hongming · CIK 0001710697 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,849 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| January 02, 2020 Filed Jan 3, 2020 21:12 UTC | KALA BIO, Inc. KALA · Entity 7964 | GrantStock Option (right to buy) · Derivative | 120,000 | $0.00 Strike: $3.84 | $0.00 |
DisclosureSEC source: 0001179110-20-000157 · edgar.xml · derivative · entry 1 Chen Hongming · CIK 0001710697 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,000 Underlying: Common Stock · 120,000 shares Expires 2030-01-01 F1 · derivative.exercise_date: This option was granted on January 2, 2020 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter. Read SEC document |
| January 02, 2019 Filed Jan 4, 2019 22:02 UTC | KALA BIO, Inc. KALA · Entity 7964 | GrantStock Option (right to buy) · Derivative | 150,000 | $0.00 Strike: $5.19 | $0.00 |
DisclosureSEC source: 0001179110-19-000459 · edgar.xml · derivative · entry 1 Chen Hongming · CIK 0001710697 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2029-01-01 F1 · derivative.exercise_date: This option was granted on January 2, 2019 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter. Read SEC document |
| February 28, 2018 Filed Mar 2, 2018 22:19 UTC | KALA BIO, Inc. KALA · Entity 7964 | Exercise / conversionStock Option (right to buy) · Derivative | 5,769 | $0.00 Strike: $2.24 | $0.00 |
DisclosureSEC source: 0001179110-18-003327 · edgar.xml · derivative · entry 4 Chen Hongming · CIK 0001710697 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,769 shares Expires 2023-09-27 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The option with respect to these shares is fully vested. Read SEC document |
| February 28, 2018 Filed Mar 2, 2018 22:19 UTC | KALA BIO, Inc. KALA · Entity 7964 | Exercise / conversionStock Option (right to buy) · Derivative | 4,000 | $0.00 Strike: $2.30 | $0.00 |
DisclosureSEC source: 0001179110-18-003327 · edgar.xml · derivative · entry 3 Chen Hongming · CIK 0001710697 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,236 Underlying: Common Stock · 4,000 shares Expires 2024-10-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: This option was granted on October 2, 2014 and vests over four years, with 2.0833% of the shares underlying the option vested on August 21, 2014 and an additional 2.0833% of the shares vesting at the end of each successive one-month period thereafter. Read SEC document |
| February 28, 2018 Filed Mar 2, 2018 22:19 UTC | KALA BIO, Inc. KALA · Entity 7964 | Exercise / conversionCommon Stock | 5,769 | $2.24 | $12,922.56 |
DisclosureSEC source: 0001179110-18-003327 · edgar.xml · nonDerivative · entry 2 Chen Hongming · CIK 0001710697 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,849 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 28, 2018 Filed Mar 2, 2018 22:19 UTC | KALA BIO, Inc. KALA · Entity 7964 | Exercise / conversionCommon Stock | 4,000 | $2.30 | $9,200.00 |
DisclosureSEC source: 0001179110-18-003327 · edgar.xml · nonDerivative · entry 1 Chen Hongming · CIK 0001710697 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,080 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 07, 2018 Filed Feb 9, 2018 21:31 UTC | KALA BIO, Inc. KALA · Entity 7964 | GrantStock Option (right to buy) · Derivative | 70,000 | $0.00 Strike: $12.86 | $0.00 |
DisclosureSEC source: 0001179110-18-001890 · edgar.xml · derivative · entry 1 Chen Hongming · CIK 0001710697 · Chief Scientific Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,000 Underlying: Common Stock · 70,000 shares Expires 2028-02-06 F1 · derivative.exercise_date: This option was granted on February 7, 2018 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter. Read SEC document |
| July 19, 2017 Filed Jul 21, 2017 20:22 UTC | KALA BIO, Inc. KALA · Entity 7964 | GrantStock Option (right to buy) · Derivative | 28,800 | $0.00 Strike: $15.00 | $0.00 |
DisclosureSEC source: 0001179110-17-010599 · edgar.xml · derivative · entry 1 Chen Hongming · CIK 0001710697 · Chief Scientific Officer · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,800 Underlying: Common Stock · 28,800 shares Expires 2027-07-18 F1 · derivative.exercise_date: This option was granted, effective on July 19, 2017 and vests over four years, with 2.0833% of the shares underlying the option vesting on August 31, 2017 and an additional 2.0833% of the shares vesting at the end of each successive one-month period thereafter. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.