RA PHARMACEUTICALS, INC. Forms 3, 4 and 5: Warrants
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 26 rows, 26 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2016-10-31: Reporting owner Weller Harry R; Form 4; Security Warrants to Purchase Common Stock; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2016-10-31: Reporting owner MORGENTHALER VENTURE PARTNERS IX LP | Morgenthaler Management Partners IX, LLC; Form 4; Security Warrants to Purchase Common Stock; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2016-10-31: Reporting owner Viswanathan Ravi; Form 4; Security Warrants to Purchase Common Stock; Transaction X Exercise of in-the-money or at-the-money derivative security.
- 2016-10-31: Reporting owner SANDELL SCOTT D; Form 4; Security Warrants to Purchase Common Stock; Transaction X Exercise of in-the-money or at-the-money derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2016-10-31 | Weller Harry R 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Note 2 | X Exercise of in-the-money or at-the-money derivative security | −80,658 0 owned after | $0.07 exercise price | 2016-10-31 | |
| 2016-10-31 | MORGENTHALER VENTURE PARTNERS IX LP | Morgenthaler Management Partners IX, LLC 10% Owner | 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −63,019 0 owned after | $0.07 exercise price | 2016-10-31 | |
| 2016-10-31 | Viswanathan Ravi 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Note 2 | X Exercise of in-the-money or at-the-money derivative security | −80,658 0 owned after | $0.07 exercise price | 2016-10-31 | |
| 2016-10-31 | SANDELL SCOTT D 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Note 2 | X Exercise of in-the-money or at-the-money derivative security | −80,658 0 owned after | $0.07 exercise price | 2016-10-31 | |
| 2016-10-31 | Lettmann Jason Director | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See footnote | X Exercise of in-the-money or at-the-money derivative security | −63,019 0 owned after | $0.07 exercise price | 2016-10-31 | |
| 2016-10-31 | MOTT DAVID M 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Note 2 | X Exercise of in-the-money or at-the-money derivative security | −80,658 0 owned after | $0.07 exercise price | 2016-10-31 | |
| 2016-10-31 | KOLLURI KRISHNA KITTU 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Note 2 | X Exercise of in-the-money or at-the-money derivative security | −80,658 0 owned after | $0.07 exercise price | 2016-10-31 | |
| 2016-10-31 | NOVARTIS AG | Novartis Bioventures Ltd 10% Owner | 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −62,914 0 owned after | $0.07 exercise price | 2016-10-31 | |
| 2016-10-31 | KERINS PATRICK J 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Note 2 | X Exercise of in-the-money or at-the-money derivative security | −80,658 0 owned after | $0.07 exercise price | 2016-10-31 | |
| 2016-10-31 | BASKETT FOREST 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Note 2 | X Exercise of in-the-money or at-the-money derivative security | −80,658 0 owned after | $0.07 exercise price | 2016-10-31 | |
| 2016-10-31 | BARRIS PETER J 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Note 2 | X Exercise of in-the-money or at-the-money derivative security | −80,658 0 owned after | $0.07 exercise price | 2016-10-31 | |
| 2016-10-31 | BARRETT M JAMES 10% Owner | 4 | Warrants to Purchase Common Stock Derivative · Indirect · See Note 2 | X Exercise of in-the-money or at-the-money derivative security | −80,658 0 owned after | $0.07 exercise price | 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 | Warrants to Purchase Common Stock Derivative · Direct | X Exercise of in-the-money or at-the-money derivative security | −80,658 0 owned after | $0.07 exercise price | 2016-10-31 | |
| 2016-10-25 holding as of filing | Weller Harry R 10% Owner | 3 | Warrants to Purchase Common 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 | Warrants to Purchase Common 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 | Warrants to Purchase Common 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 | Warrants to Purchase Common 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 | Warrants to Purchase Common 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 | Warrants to Purchase Common 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 | Warrants to Purchase Common 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 | Warrants to Purchase Common 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 | Warrants to Purchase Common 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 | Warrants to Purchase Common Stock Derivative · Direct | Holding | no price filed | 2016-10-25 | ||
| 2016-10-25 holding as of filing | Lettmann Jason Director | 3 | Warrants to Purchase Common Stock Derivative · Indirect · See footnotes | Holding | $0.07 exercise price | 2016-10-25 | ||
| 2016-10-25 holding as of filing | NOVARTIS AG | Novartis Bioventures Ltd 10% Owner | 10% Owner | 3 | Warrants to Purchase Common Stock Derivative · Direct | Holding | $0.07 exercise price | 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 | Warrants to Purchase Common Stock Derivative · Direct | Holding | $0.07 exercise price | 2016-10-25 |