RA PHARMACEUTICALS, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 98 rows, 98 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-10-31: Reporting owner Novo A/S; Form 4; Security Series B-1 Preferred Stock; Transaction C Conversion of derivative security.
- 2016-10-31: Reporting owner Novo A/S; Form 4; Security Series B-2 Preferred Stock; Transaction C Conversion of derivative security.
- 2016-10-31: Reporting owner Shah Rajeev M.; Form 4; Security Series B-1 Preferred Stock; Transaction C Conversion of derivative security.
- 2016-10-31: Reporting owner Shah Rajeev M.; Form 4; Security Series B-2 Preferred Stock; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-10-31 | Novo A/S 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −924,970 0 owned after | $0.00 | 2016-11-02 | |
| 2016-10-31 | Novo A/S 10% Owner | 4 | Series B-2 Preferred Stock Derivative · Direct | C Conversion of derivative security | −860,438 0 owned after | $0.00 | 2016-11-02 | |
| 2016-10-31 | Shah Rajeev M. Director | 4 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −4,316,531 0 owned after | no price filed | 2016-10-31 | |
| 2016-10-31 | Shah Rajeev M. Director | 4 | Series B-2 Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −4,015,378 0 owned after | no price filed | 2016-10-31 | |
| 2016-10-31 | RA Capital Healthcare Fund LP | Kolchinsky Peter | RA CAPITAL MANAGEMENT, LLC 10% Owner | 10% Owner | Director | 4 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −4,316,531 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | RA Capital Healthcare Fund LP | Kolchinsky Peter | RA CAPITAL MANAGEMENT, LLC 10% Owner | 10% Owner | Director | 4 | Series B-2 Preferred Stock Derivative · Indirect · See footnotes | C Conversion of derivative security | −4,015,378 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | Weller Harry R 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −12,447,605 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | Weller Harry R 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −4,689,657 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | Weller Harry R 10% Owner | 4 | Series B-2 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −4,362,472 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | MORGENTHALER VENTURE PARTNERS IX LP | Morgenthaler Management Partners IX, LLC 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −9,744,916 0 owned after | no price filed | 2016-10-31 | |
| 2016-10-31 | MORGENTHALER VENTURE PARTNERS IX LP | Morgenthaler Management Partners IX, LLC 10% Owner | 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,664,071 0 owned after | no price filed | 2016-10-31 | |
| 2016-10-31 | MORGENTHALER VENTURE PARTNERS IX LP | Morgenthaler Management Partners IX, LLC 10% Owner | 10% Owner | 4 | Series B-2 Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,408,439 0 owned after | no price filed | 2016-10-31 | |
| 2016-10-31 | Viswanathan Ravi 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −12,447,605 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | Viswanathan Ravi 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −4,689,657 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | Viswanathan Ravi 10% Owner | 4 | Series B-2 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −4,362,472 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | SANDELL SCOTT D 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −12,447,605 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | SANDELL SCOTT D 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −4,689,657 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | SANDELL SCOTT D 10% Owner | 4 | Series B-2 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −4,362,472 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | Lettmann Jason Director | 4 | Series A Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −9,744,916 0 owned after | no price filed | 2016-10-31 | |
| 2016-10-31 | Lettmann Jason Director | 4 | Series B-1 Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −3,664,071 0 owned after | no price filed | 2016-10-31 | |
| 2016-10-31 | Lettmann Jason Director | 4 | Series B-2 Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −3,408,439 0 owned after | no price filed | 2016-10-31 | |
| 2016-10-31 | Lettmann Jason Director | 4 | Series B-1 Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −3,798,914 0 owned after | no price filed | 2016-10-31 | |
| 2016-10-31 | Lettmann Jason Director | 4 | Series B-2 Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −517,617 0 owned after | no price filed | 2016-10-31 | |
| 2016-10-31 | Lettmann Jason Director | 4 | Series B-1 Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −3,533,875 0 owned after | no price filed | 2016-10-31 | |
| 2016-10-31 | Lettmann Jason Director | 4 | Series B-2 Preferred Stock Derivative · Indirect · See footnote | C Conversion of derivative security | −481,503 0 owned after | no price filed | 2016-10-31 | |
| 2016-10-31 | MOTT DAVID M 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −12,447,605 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | MOTT DAVID M 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −4,689,657 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | MOTT DAVID M 10% Owner | 4 | Series B-2 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −4,362,472 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | KOLLURI KRISHNA KITTU 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −12,447,605 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | KOLLURI KRISHNA KITTU 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −4,689,657 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | KOLLURI KRISHNA KITTU 10% Owner | 4 | Series B-2 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −4,362,472 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | NOVARTIS AG | Novartis Bioventures Ltd 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −9,728,589 0 owned after | no price filed | 2016-10-31 | |
| 2016-10-31 | NOVARTIS AG | Novartis Bioventures Ltd 10% Owner | 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,657,932 0 owned after | no price filed | 2016-10-31 | |
| 2016-10-31 | NOVARTIS AG | Novartis Bioventures Ltd 10% Owner | 10% Owner | 4 | Series B-2 Preferred Stock Derivative · Direct | C Conversion of derivative security | −3,402,729 0 owned after | no price filed | 2016-10-31 | |
| 2016-10-31 | KERINS PATRICK J 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −12,447,605 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | KERINS PATRICK J 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −4,689,657 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | KERINS PATRICK J 10% Owner | 4 | Series B-2 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −4,362,472 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | BASKETT FOREST 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −12,447,605 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | BASKETT FOREST 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −4,689,657 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | BASKETT FOREST 10% Owner | 4 | Series B-2 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −4,362,472 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | BARRIS PETER J 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −12,447,605 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | BARRIS PETER J 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −4,689,657 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | BARRIS PETER J 10% Owner | 4 | Series B-2 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −4,362,472 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | BARRETT M JAMES 10% Owner | 4 | Series A Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −12,447,605 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | BARRETT M JAMES 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −4,689,657 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | BARRETT M JAMES 10% Owner | 4 | Series B-2 Preferred Stock Derivative · Indirect · See Note 2 | C Conversion of derivative security | −4,362,472 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | NEA 13 GP, Ltd | NEW ENTERPRISE ASSOCIATES 13 LP | NEA Partners 13, Limited Partnership 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Stock Derivative · Direct | C Conversion of derivative security | −12,447,605 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | NEA 13 GP, Ltd | NEW ENTERPRISE ASSOCIATES 13 LP | NEA Partners 13, Limited Partnership 10% Owner | 10% Owner | 10% Owner | 4 | Series B-1 Preferred Stock Derivative · Direct | C Conversion of derivative security | −4,689,657 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-31 | NEA 13 GP, Ltd | NEW ENTERPRISE ASSOCIATES 13 LP | NEA Partners 13, Limited Partnership 10% Owner | 10% Owner | 10% Owner | 4 | Series B-2 Preferred Stock Derivative · Direct | C Conversion of derivative security | −4,362,472 0 owned after | $0.00 | 2016-10-31 | |
| 2016-10-25 holding as of filing | Weller Harry R 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | Weller Harry R 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | Weller Harry R 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | Viswanathan Ravi 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | Viswanathan Ravi 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | Viswanathan Ravi 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | SANDELL SCOTT D 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | SANDELL SCOTT D 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | SANDELL SCOTT D 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | MOTT DAVID M 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | MOTT DAVID M 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | MOTT DAVID M 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | KOLLURI KRISHNA KITTU 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | KOLLURI KRISHNA KITTU 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | KOLLURI KRISHNA KITTU 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | KERINS PATRICK J 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | KERINS PATRICK J 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | KERINS PATRICK J 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | BASKETT FOREST 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | BASKETT FOREST 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | BASKETT FOREST 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | BARRIS PETER J 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | BARRIS PETER J 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | BARRIS PETER J 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | BARRETT M JAMES 10% Owner | 3 | Series A Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | BARRETT M JAMES 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | BARRETT M JAMES 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Indirect · See Note 2 | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | NEW ENTERPRISE ASSOCIATES 13 LP | NEA 13 GP, Ltd | NEA Partners 13, Limited Partnership 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | NEW ENTERPRISE ASSOCIATES 13 LP | NEA 13 GP, Ltd | NEA Partners 13, Limited Partnership 10% Owner | 10% Owner | 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Direct | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | NEW ENTERPRISE ASSOCIATES 13 LP | NEA 13 GP, Ltd | NEA Partners 13, Limited Partnership 10% Owner | 10% Owner | 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Direct | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | Lettmann Jason Director | 3 | Series A Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | Lettmann Jason Director | 3 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | Lettmann Jason Director | 3 | Series B-2 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | Lettmann Jason Director | 3 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | Lettmann Jason Director | 3 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | Lettmann Jason Director | 3 | Series B-2 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | Lettmann Jason Director | 3 | Series B-2 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | Kolchinsky Peter | RA CAPITAL MANAGEMENT, LLC | RA Capital Healthcare Fund LP 10% Owner | Director, 10% Owner | 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | Kolchinsky Peter | RA CAPITAL MANAGEMENT, LLC | RA Capital Healthcare Fund LP 10% Owner | Director, 10% Owner | 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | NOVARTIS AG | Novartis Bioventures Ltd 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | NOVARTIS AG | Novartis Bioventures Ltd 10% Owner | 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Direct | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | NOVARTIS AG | Novartis Bioventures Ltd 10% Owner | 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Direct | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | MORGENTHALER VENTURE PARTNERS IX LP | Morgenthaler Management Partners IX, LLC 10% Owner | 10% Owner | 3 | Series A Preferred Stock Derivative · Direct | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | MORGENTHALER VENTURE PARTNERS IX LP | Morgenthaler Management Partners IX, LLC 10% Owner | 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Direct | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | MORGENTHALER VENTURE PARTNERS IX LP | Morgenthaler Management Partners IX, LLC 10% Owner | 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Direct | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | Shah Rajeev M. Director | 3 | Series B-1 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | Shah Rajeev M. Director | 3 | Series B-2 Preferred Stock Derivative · Indirect · See footnotes | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | Novo A/S 10% Owner | 3 | Series B-1 Preferred Stock Derivative · Direct | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | Novo A/S 10% Owner | 3 | Series B-2 Preferred Stock Derivative · Direct | Holding | no price filed | 2016-10-25 |