Yea Christopher's Form 4/A amendment
AmendedKalVista Pharmaceuticals, Inc. (KALV) · filed May 22, 2023
- Accession no.
- 0001209191-23-031634
- Filed
- May 22, 2023
- Trade date
- Feb 17, 2023
- Filing delay
- 94 days
- Rule 10b5-1 plan
- Not checked
- Original filed
- Feb 23, 2023
This filing lists 1 derivative transaction. It carries over 3 transactions from the original filing that it did not restate. Open-market sales total $20.9K. It was filed 94 days after the trade.
This amendment restates part of 0001209191-23-012317 (filed Feb 23, 2023). The transactions it did not restate still count and are listed below.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Yea ChristopherCIK 0001691102 | Officer (Chief Development Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
This filing has no transactions of this kind.
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 17, 2023 | Common Stock | MOption exerciseDisposed | −2,430 | $0.00 | $0 | 26,736 | Direct |
Carried over from the original filing
This amendment restates only part of the original filing. The original's other transactions still stand, and the trade tables on Livermore count them under this amendment.
From 0001209191-23-012317 (filed Feb 23, 2023).
Non-derivative securities (Table I)
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 17, 2023 | Common Stock | MOption exerciseAcquired | +4,204 | –F1 | – | 38,436 | Direct | |
| Feb 17, 2023 | Common Stock | SSaleDisposed | −2,727 | $7.66 | −$20,888.82 | 35,709 | Direct |
Derivative securities (Table II)
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Feb 17, 2023 | Common Stock | MOption exerciseDisposed | −1,774 | $0.00 | $0 | 23,059 | Direct |
Footnotes on the original
The footnotes that the prices of these transactions refer to on the original filing.
- F1
Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Class A Common Stock upon settlement for no consideration.
Referenced by the price of 1 transaction in Table I.
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
The original Form 4 filed on February 23, 2023, is being amended by this Form 4 amendment solely to correct an administrative error, which mis-reported the vesting schedule and the restricted stock unit as a performance restricted stock unit.
- F2
Each restricted stock unit ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.
- F3
1/16th of the total number of shares subject to the RSU shall vest on each quarterly anniversary of the Vesting Commencement Date commencing on May 17, 2022, subject to continued service through each vesting date.